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Compliance Toolbox

This is a glossary of key cybersecurity terms.
A peer shares the questions OCIE examiners asked in a document request letter to the advisory firm in an exam initiative directed at registered investment ...
Form N-2 is to be used by closed-end management investment companies, except small business investment companies licensed as such by the United States Small Business Administration, ...
A CCO peer shares the table of contents from the advisory firm's compliance manual.
This is the SEC form required to be filed by large traders.
This letter goes beyond 12b-1 fees to look at broader "revenue sharing."
A peer shares the advisory firm's soft dollars checklist.
The SEC orders the recipient to preserve records and to submit information to help the agency's investigation.
This is a code of ethics for an investment advisory firm.
This is an example of an IPS or investment policy statement.
This is an example of an IPS or investment policy statement.
The Commodity Futures Trading Commission (the ‘‘Commission’’ or ‘‘CFTC’’) is revising its Form 7–R, the application form that entities must use to register with the Commission ...
The Registrants, together with various affiliates as described in this Brochure, comprise Goldman Sachs Asset Management (“GSAM”). Accordingly, the disclosure contained in this Brochure applies ...
This brochure, dated March 28, 2019, updates and replaces our prior annual brochure, dated March 30, 2018. Although we have made changes and updates to ...
There have been no material changes to this brochure since the last version available March 31, 2018.
This brochure provides information about the qualifications and business practices of Pacific Investment Management Company LLC (“PIMCO”). If you have any questions about the contents of ...
This brochure has been updated to reflect new fee schedules. There have been no material changes since the last update of Capital Research and Management ...
The last annual updating amendment to Form ADV Part 2A (the “Brochure”) was dated March 29, 2018. Material changes to this Brochure since the March ...
This brochure ("Brochure") dated March 31, 2019, contains the following material changes since the annual update dated March 30, 2018. • Item 8.A - A discussion of ...
What follows is a discussion only of the material changes made since the annual update of this brochure was filed on March 28, 2018.  Updates ...
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