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.
A copy of a PriceWaterhouseCoopers memo produced after a review of the Bernard L. Madoff Investment Securities firm.
A document request letter sent to a dually registered RIA by the SEC for an exam in 2009.
The Senate Banking Committee's report on The American Financial Stability Act from March 2010.
This is a copy of an SEC document request letter sent in 2010. This is very similar to a new type of document request letter ...
This is a copy of an SEC Inspector General report, released via a Freedom of Information Act request by IA Watch, into allegations surrounding the ...
Click here to open an Excel spreadsheet that functions as a client checklist. This allows you to keep track of the information or documents you ...
Click here to open up an Excel spreadsheet from one of your peers that's used to follow up on forensic testing. This is an example ...