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Risk Disclosure (16)
Your search for Risk Disclosure returned 16 results.
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11/13/2014 | Content area: Investment Adviser
The director of the SEC’s Division of Investment Management has taken to the stage a third time to drive home the Commission’s focus on alternative mu...
10/07/2014 | Content area: Broker-Dealer
You now have a second chance to weigh in on FINRA’s controversial Comprehensive Automated Risk Data System. The SRO is now seeking comment on a rule p...
4/29/2013 | Content area: Investment Adviser
Four out of 10 financial professionals use social media for business purposes several times each week, according to American Century's latest annual s...
2/11/2013 | Content area: Investment Adviser
The phrase appears so often in SEC document request letters that it can be considered ubiquitous: examiners asking to see your "inventory of risks."Bu...
9/03/2012 | Content area: Investment Adviser
Many firms maintain a library of pre-approved answers that can be inserted into an incoming due diligence questionnaire (DDQ) or request for proposal ...
3/19/2012 | Content area: Broker-Dealer
This is a copy of parts of FINRA's risk control assessment survey. The full survey can vary depending upon the online answers the respondent provides....
5/26/2010 | Content area: Investment Adviser
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 can better track the portfolio ...
4/30/2010 | Content area: Investment Adviser
Click here for a certification form from one of your peers. This is entitled Employee Conflict of Interest Disclosure and Ethics Certification Form. A...
9/17/2009 | Content area: Investment Adviser
Examples of various disclaimers and disclosures submitted by your peers. Share yours. Contact Carl Ayers at 301–287–2435 or cayers@iaweek.com.
1/01/2006 | Content area: Investment Adviser
5/28/2004 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 239 and 274 [Release Nos. 33-8408; IC-26418; File No. S7-26-03] RIN 3235-AI99 Di...
8/14/2003 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
Final Rule: Management's Report on Internal Control over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Repo...
6/30/2000 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 210 and 240[Release Nos. 33-7870; 34-42994; 35-27193; IC-24549; IA-1884; File No. S7-13-00]RIN 3235-AH9...
1/14/1997 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 228, 229, 230 and 239Release Nos. 33-7380; 34-38164; IC-22464; File No. S7-3-97International Series No....
8/22/1996 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 210 and 240[Release No. 34-37594; IC-22162; File No. S7-20-96].RIN 3235-AG70IMPLEMENTATION OF SECTION 1...
| Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 228, 229, 230, 239, 240, and 274[Release Nos. 33-7106; 34-34923; IC-20670; File No. S7-31-94]RIN 3235-A...


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