A sample code of ethics
This is AllianceBernstein's COE.
This tool comes courtesy of Karen Huey, president of Professional Compliance Assistance in Woodstock, Ga.
Hand over engagement "letters with auditors contracted to perform surprise custody" exams
This short exam letter from the West includes a focus on fees.
Here's an example of an adviser's brochure supplement.
This is an example of a brochure supplement from an actual advisory firm.
This is an advisory firm's brochure supplement.
Here's an example of an adviser's Form ADV brochure and brochure supplement.
Grab an example of a Form ADV brochure and brochure supplement from J.P. Morgan.