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Compliance Best Practices
Click here to open a Word file that was shared by Steven Felsenthal, general counsel/CCO at Millburn Ridgefield Corporation in New York. This is an ...
Long before there even was a Wall Street, Cassius mouthed the words of Shakespeare that the fault lies not in the stars "but in ourselves." ...
Nothing beats a well-thought out process but even that goes only so far if you don't document what you did. This adage especially comes into ...
Click here to open an Excel file that shows you the list of signatories to the broker protocol.
Hundreds of new RIAs have registered with the SEC in the past year and more come in everyday. Often this means someone in the firm ...
Mark March 1 on your calendar if your firm manages a large hedge fund and April 30 if it operates a sizable private equity fund. ...
Click here to open a Word file that is a checklist designed to outline an on-site due diligence visit of a counter party, courtesy of ...
Click here to open up a Word document that a peer contributes. It is the firm's policies and procedure for gifts and entertainment under the ...
Mario Hernandez, director of operations at Gemmer Asset Management in Walnut Creek, Calif., shares his firm's gifts and entertainment reporting form.
This is a copy of an SEC document request letter sent to an IA firm.