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Books and Records (60)
Your search for Books and Records returned 60 results.
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5/23/2019 | Content area: Investment Adviser
Cybersecurity-related deficiencies are “a top concern” of securities examiners across the North American Securities Administrators Association’s juris...
4/18/2019 | Content area: Investment Adviser
The 59-year-old books and records rule may be showing its age but that’s not stopping advisers from plugging into modern means of communications for w...
3/14/2019 | Content area: Investment Adviser
Gooder can clearly do better. Grenville Gooder, Jr., a 55-year securities industry veteran, and his SEC-registered advisory firm Ascension Asset Manag...
3/07/2019 | Content area: Investment Adviser
Individual B never agreed to serve as Ascension’s CCO and was unaware that Ascension and Gooder had named him as the firm’s CCO until after he was con...
11/15/2018 | Content area: Investment Adviser
The SEC has upped its game with respect to investment adviser examinations given the ever-increasing number of registered IAs and one of its commissio...
10/25/2018 | Content area: Investment Adviser
To preserve or to destroy. That is the question when it comes to adviser business records.   Of course, Advisers Act rule 204-2 (books and records) su...
10/24/2018 | Content area: Investment Adviser
Bill Sowell of Sowell Financial Services in North Little Rock, Ark., gives us permission to share with you his firm's document destruction P&P.
8/16/2018 | Content area: Investment Adviser
Citi eliminated 15 valuations and related financial control positions in North America, as part of a global “efficiency” initiative that saw 50 such p...
5/21/2018 | Content area: Investment Adviser
A peer shares the firm's policies and procedures for maintaining records.
4/05/2018 | Content area: Investment Adviser
These proceedings arise out of Clayborne’s improper registration with the Commission as an investment adviser, as well as its violation of a Commissio...
1/16/2018 | Content area: Investment Adviser
A peer shares the RIA's compliance manual, complete with numerous P&Ps.
9/21/2017 | Content area: Investment Adviser
“Advertising has been a perennial issue for us,” said Kevin Kelcourse, associate OCIE regional director in Boston, in explaining OCIE’s newest risk al...
8/15/2017 | Content area: Investment Adviser
Registrants outsourced their compliance responsibilities to Respondent Strategic Consulting Advisors, LLC (“SC Advisors”), a firm that offered complia...
4/10/2017 | Content area: Investment Adviser
A peer shares a checklist for ensuring that your trade tickets or trade blotters contain the necessary items to satisfy the Investment Advisers Act's ...
4/04/2017 | Content area: Investment Adviser
This is an example of a trade ticket submitted by a peer.
3/01/2017 | Content area: Investment Adviser
Click here to open a Word document that is an example, from one of your peers, of a proxy voting policy.
2/20/2017 | Content area: Investment Adviser
A peer shares a portion of the firm's code of ethics. These are sample policies and procedures for gifts and entertainment as well as pay-to-play.
2/09/2017 | Content area: Investment Adviser
This year introduces one of the few changes to Advisers Act rule 204-2 (books and records) in 56 years (IA Watch, Aug. 25, 2016). While the aged rule ...
1/27/2017 | Content area: Investment Adviser
More evidence that OCIE’s wrap fee program sweep has produced results (IA Watch, Aug. 4, 2014). The dual-registrant Citigroup Global Markets settled c...
1/26/2017 | Content area: Investment Adviser | Broker-Dealer
CGMI overcharged or caused to be overcharged at least 60,000 advisory client accounts an estimated $18 million in unauthorized advisory fees. These ov...


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