COMPLIANCE TOOLBOX
08/26/2010
An overview of the new Form ADV rule from the SEC. This includes a good comparison between the existing Form ADV, Part 2 and the 2011 version. This is posted with permission of the Paul Hastings law firm.
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08/24/2010
This is an interactive PDF document that you could use to build your Form ADV, Part 2 brochure supplements. This is a tool created by Cynthia Custer, senior industry consultant at Mainstay Capital Markets Consultants in Atlanta, to help her firm create brochure supplements for her clients. We thank Cynthia for sharing this with you.
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08/17/2010
Click here to open a Word file that Michelle Heyne, CCO at McAdams Wright Ragen in Seattle, shares with you. We thank Michelle for her contribution.
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08/17/2010
This is a portion of a policy and procedure related to supervision at an RIA. This comes from Nancy Lininger with The Consortium in Camarillo, Calif.
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08/12/2010
A peer shares a communication to staff to give them guidance for dealing with seniors and clients who may suffer from dementia.
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08/12/2010
A copy of the letter Gary Aguirre sent to the SEC in January 2009, which he believes sparked a re-opening of the SEC's investigation into Pequot Capital Management.
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08/11/2010
A copy of an SEC document request letter issued in 2010. Our source tells us this letter came from a “surprise exam” of an RIA.
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08/09/2010
This is a compilation of state rules for reporting elder abuse. Gary Gushard, an attorney with Tucker Arensberg in Pittsburgh, compiled this list.
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08/09/2010
Click here to open an Excel file that one of your peers, Paula Bosco of New Mountain Capital in New York, agreed to share with you. We thank Paula for this contribution.
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08/05/2010
A copy of a Morgan Stanley Form ADV Part 2.
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