As advisory firms with custody scramble to find accountants willing to begin a surprise exam by year's end, the SEC has slapped a CPA and ...
You may consider describing your firm's business continuity plan to clients and prospective clients via your website. Alabama gets hit from time to time by ...
Even if your firm doesn't allow employees to engage in social media chats, you have an obligation to monitor compliance with that policy. One way ...
A CCO could feel as if he's pulled in a thousand directions after SEC examiners take up position in the firm. Of course, you can't ...
Jermaine Spence must have thought he was born to be an investment adviser. The website for his RIA, FreedomTree Asset Management in Atlanta, boosted of ...
You certainly know the risks firms can face for violating the privacy protections of Reg S-P IA Watch, July 27, 2009), so it may surprise ...
The lawyers may debate the fine-print of SEC regulations regarding the delivery of Form ADV, Part 2 but many firms already embrace the idea of ...
One of the more enduring challenges of the market crisis has been trying to determine the true value of certain securities. Last week the SEC ...
This is a copy of an SEC document request letter for a limited scope exam. This exam occurred out of the Atlanta region in 2010.
This is a copy of an SEC document request letter for a limited scope exam conducted in the Atlanta region in 2010.