Annual Review

Every registered unit investment trust shall file an annual report on Form N-SAR with respect to each calendar year not more than sixty calendar days ...

One test to help you assess whether clients are being treated fairly is to examine performance dispersion. Run a report on performance of all client ...

Two years after SEC commissioners failed to advance the case against former Ferris, Baker Watts General Counsel Ted Urban (IA Watch, Feb. 6, 2012), concern ...

Click here to open a Word file that comes from a peer and is called a risk identification questionnaire. Use this tool to help discover ...

It's not uncommon for institutional investors to ask an adviser for copies of its last two annual reviews. "I'm more than happy to show it ...

Click here to download an Excel file that gives you a template for how to display compliance tests and their results for use in your ...

If you've ever questioned the wisdom of e-mail monitoring, consider this story. A CCO searches for the word "offer" and discovers an exchange in which ...

On the basis of this Order and Respondents’ Offers, the Commission finds that: 1. Between January 1, 2007 and September 3, 2009, the relevant time period ...

This matter involves custody rule violations and supervisory and compliance failures at Vector, a Minnesota investment adviser registered with the Commission since 1997.

Some CCOs never appear before their firm's board. In other cases, a board meeting isn't gaveled into order without compliance being seated. You can gain ...