An example of a web-service agreement provided by one of your peers. Some suggest you have clients sign agreements like this and maintain them as ...
A copy of an SEC document request letter from the Midwest, stemming from a 2009 exam.
An excel file that is a fair valuation request form, courtesy of David Hunt, that lays out a good procedure to substantiate valuation of a ...
A copy, somewhat difficult to read, of an SEC document request letter from a Northeast firm that was examined in 2009. The firm advises mutual ...
This is a checklist, in an Excel format, to help prepare for an SEC exam, courtesy of David Lui, a CCO in Minneapolis.
Examples of various disclaimers and disclosures submitted by your peers. Share yours. Contact Carl Ayers at 301–287–2435 or cayers@iaweek.com.
A risk matrix tool courtesy of Krista Zipfel, CEO & President of Advisor Solutions Group in Newport Beach, Calif.
A copy of the January 2009 FINRA sweep exam letter looking at broker-dealer relationships with investment advisers after the Bernie Madoff debacle.
A guide to conducting an annual compliance review from William Edick, a partner at Pickard & Djinis in Washington.
An example of a compliance calendar to help you build efficiencies into your program, courtesy of Krista Zipfel, CEO & President of the Advisor Solutions ...