Books and Records

You have to go back more than one year to when we first told you about a new CFTCrule that would require commodity trading advisers ...

Click here to open a Word document. This is an example of a conflicts questionnaire. It comes from a peer. The firm would have staff ...

Here are several examples of e-mail disclaimers contributed from some of your peers.

A peer shares the firm's policy on whether to retain or shred documents.

Look up Advisers Act rule 204-2(d) and you'd see that it permits use of a code to identify a client. The language reads:Any books or ...

Whether it's an e-mail, proxy service, portfolio management, document repository or some other vendor, your firm likely turns to a third-party to house key records. ...

This case featured a father trying to hide the sins of his son. It also features books and records violations, among others.