Eye an SEC exam document request letter from an ongoing exam
A peer shares this P&P
Provided as a courtesy from Coulter Strategic Services
A peer shares an example of a gifts and entertainment compliance policy and procedure
This sample log comes courtesy of Lisa Marsden, president of Coulter Strategic Services in Coral Springs, Fla.
These new FAQs were released in December 2023
The Division encourages security-based swap dealers to consider improvements in their compliance programs, as may be appropriate, to further compliance with Exchange Act requirements. The ...
Sources share with RCW a new DOE sweep exam letter. This one focuses on 13F filings by institutional advisers
This review is focused on changes in the composition of the accredited investor pool since the definition was adopted; the extent to which accredited investors ...
A source shares with RCW a copy of a new DOE exam letter described as a new sweep exam tied to the new IA marketing ...