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.
An SEC document request letter from 2009 issued by the Denver regional office.
The head of one RIA gambled on Google and lost big - $12 million in just two months, according to the SEC - and the ...
Here's a model of behavior that's worth contemplating, especially considering the source: David Bergers, the director of the SEC's regional office in Boston. He recently ...
The struggle to find a compliant privacy notice to give clients ended last week, as the SEC and seven other federal agencies finally agreed to ...
Tucked inside Sen. Christopher Dodd's (D-Conn.) massive financial regulatory reform bill you'll find provisions that would encourage more states to adopt the North American Securities ...
The SEC's Office of Compliance Inspections and Examinations should revise its risk-scoring system for investment advisory firms, inform these ratings with additional information from other ...