IA Compliance Toolbox

Compliance officers use this type of letter to request staff trading data from brokers
A copy of a December 2009 letter from the SEC Chicago Regional Office alerting an adviser that it could be subject to an exam and ...
One of your peers shares a Word template of the Form ADV, Part II. The source can't vouch for how current this template is, so ...
An actual copy of a client agreement from Bernard L. Madoff Investment Securities.
An actual account statement sent to a client by Bernard L. Madoff Investment Securities. The fraud exposed that such account statements amounted to nothing more ...
Here is an example, as a Word document, of how to document part of your annual review, courtesy of Karen Huey, owner of Professional Compliance ...
This on-site due-diligence questionnaire for sub-advisers is courtesy of CCO Christina Sears of American Beacon Advisors in Fort Worth, Texas.
This questionnaire comes from CCO Christina Sears of American Beacon Advisors in Fort Worth, Texas. She created this as an annual tool to question the ...
Resumes from David Zilkha, whose name has been associated with Pequot Capital Management.
Testimony from Peggy Thomson in divorce case involving David Zilhka, who used to work at Pequot Capital Management.
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