This is the custody audit report from 2011 prepared for Barclay Capital.
This is a copy of the auditors' report into custody by Goldman Sachs Asset Management.
This is the 2011 custody audit report prepared for Merrill Lynch.
This is an SEC no-action letter that declares a booklet containing a partial list of clients as an advertisement even though it was intended for ...
This is the Department of Labor's Amendment to Prohibited Transaction Exemption (PTE) 96–23 for Plan Asset Transactions Determined by In-House Asset Managers, which was published ...
This worksheet, kindly supplied by a peer, can be used to document the setting up of a new taxable account.
A peer shares a worksheet used to document compliance with new account procedures by operations. The firm uses this worksheet each week, examining the new ...
Victoria Hogan, president of NorthPoint Compliance in Red Bank, N.J., shares a list of questions compliance staff can anticipate traders may be asked during an ...
The SEC moved last week to prevent a former rep at an RIA from stealing more funds from deferred compensation accounts he managed. The agency ...
It's likely you or someone in your firm created a Facebook or LinkedIn account in the last year, according to a new American Century Investments ...