A lawsuit filed in October 2010 against several parties, including two RIAs, allegedly breach of fiduciary duty under ERISA in connection with losses sustained through ...
This is a code of conduct for placement agents that was submitted to the SEC as part of its proposed pay-to-play rule.
This is a copy of an SEC document request letter for a limited scope exam. This exam occurred out of the Atlanta region in 2010.
This is a copy of an SEC document request letter for a limited scope exam conducted in the Atlanta region in 2010.
This is NASAA's guide to state contacts for B-D and RIA registration and exams, dated September 2010.
This is an SEC document request letter stemming from a limited scope exam conducted out of the Atlanta regional office in 2010.
Click here to open an Excel file that can serve as a template for tracking documents needed for an SEC exam. This tool comes courtesy ...
This is a sample memo to alert staff to preserve documents in light of a government investigation, shared courtesy of Mark Egert, a partner with ...
This is a sample memo for firms to notify staff of a government investigation, courtesy of Mark Egert, a partner with Crowell & Moring in ...
This is a crisis handbook shared with permission of Mark Egert, a partner with Crowell & Moring in New York. Egert created this handbook to ...