This is text a peer shares for a letter the firm sends to clients alerting them that they may be contacted by an accountant performing ...
These are sample policies and procedures for handling whistleblowers. These come courtesy of Debra Brown, president of Self Audit, Inc. in Beverly Farms, Mass.
A peer shares the firm's annual privacy notice.
This is a portion of what has been described to IA Watch as an SEC sweep exam letter to some RIAs in 2010 related to ...
This is the model privacy form from the government designed for firms with no affiliate opt outs.
This is the government's model privacy form for firms with an affiliate but no opt out.
This is the government's model privacy notice for firms without an affiliate and no opt out.
A copy of the government's model privacy notice for financial firms. This one is designed for firms with affiliates in which the client wishes to ...
A peer shares his firm's policy regarding employee use of the Internet.
A peer shares a copy of her firm's social media policy.