A peer shares how the firm educates staff about the Massachusetts data security rule.
A peer shares frequently asked questions related to the Massachusetts data security rule assembled for the firm.
A paper prepared by Ed Pittman of Dechert in Washington, D.C., that takes an early look at the SEC's description of its pay to play ...
A copy of the Senate's investigation into the SEC's handling of the Gary Aguirre case.
Final text of the House-Senate conferee's legislative language for fiduciary duty issue in financial regulatory reform bill.
Click here to open a Word file that is an example of a letter you could use in a case of a data or privacy ...
A copy of the 2001 e-mail at the center of the alleged Pequot insider trading case.
Click here to open a Word file that is an example of an N1–A form. A peer has its subadvisers complete this form so it ...
Here are more FAQs provided by the SEC for its custody rule. These are the additions released May 20, 2010.
This is a sample list of documents you may wish to consider for your annual review, from one of your peers.