Annual Review

If your firm skimps on compliance resources and you feel you’re wearing too many hats, you might want to make the powers that be at ...

Three strikes and you’re out. A critical SEC exam best practice is to make sure you address and correct deficiencies previously cited by the Commission and ...

      Investment Company Act of 1940 — Section 12(d)(3) Adams Diversified Equity Fund Inc. April 30, 2015 RESPONSE OF THE CHIEF COUNSEL'S OFFICE ...

It’s right there in black and white in current SEC exam document request letters. Before arriving on-site at an advisory firm, Commission examiners are seeking ...

Believe it or not it’s been more than 10 years since the annual review requirement came into place. While the annual review can seem like ...

These are instructions for how to conduct a transaction analysis for forensic testing around trading. This comes courtesy of Krista Zipfel, CEO/president of Advisor Solutions ...

Every registered unit investment trust shall file an annual report on Form N-SAR with respect to each calendar year not more than sixty calendar days ...

Chief compliance officer. Designate one individual responsible for administering the fund's policies and procedures adopted under paragraph (a)(1) of this section

One test to help you assess whether clients are being treated fairly is to examine performance dispersion. Run a report on performance of all client ...

Two years after SEC commissioners failed to advance the case against former Ferris, Baker Watts General Counsel Ted Urban (IA Watch, Feb. 6, 2012), concern ...