This is a typed copy of an SEC document request letter sent by the New York Regional Office in October 2010.
A peer shares its privacy policy statement.
If you're a compliance officer for a mutual fund, you have an additional four months to meet FinCEN's deadline for developing an AML program and ...
List your firm's conflicts on a sheet of paper first before you sit down to write up your new Form ADV, Part 2 brochure and ...
It'll be more than a year before the impact of a new Department of Labor rule hits the market, but when it does, investors in ...
The halls of the SEC are busy with organizations entering to influence how the agency translates congressional intent into regulatory action. Another sign of the ...
One CCO tried to end a monthly compliance subscription service and ended up receiving dunning letters. Another took time to build a solid relationship with ...
RIAs are under no obligations under the Advisers Act to return a client's forms for these legal actions
This is a proposed rule released in October 2010 from the Labor Department that proposes a definition of a fiduciary.