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Topic: Books and Records

Outsourced CCO and Advisers Face Form ADV, Books and Records Charges

April 17, 2015
Outsourcing a chief compliance officer may leave both an adviser and the third-party CCO it hired in trouble.

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Books and Records: Steer Clear of Compliance Pitfalls

August 15, 2014
The Advisers Actís Books and Records Rule (Rule 204-2) is an old rule, and one that does not get as much attention as more prominent requirements, such as the Custody Rule.

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Recordkeeping: What Examiners Look For

February 28, 2014
Document that you did what you did. You'll avoid more deficiencies that way.

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Don’t Err When Handling Errors: Documentation and Internal Reporting are Key

February 21, 2014
Despite your best efforts, some errors will always get through. How a firm handles them is critical.

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Know What to Include -- and What to Leave Out -- When Calculating AUM

October 18, 2013


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Include Liquidated Funds in Form PF Reports

August 16, 2013


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Private Funds: Review Your Financial Statements like the SEC Does

August 16, 2013


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"Buckets of Money" Backtesting Breakdown

September 30, 2012


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Do You Know Where Your Books And Records Are? Advice From The Experts

March 10, 2011


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Omgeo Wins SEC Approval to Maintain Certain Adviser Records

August 31, 2009


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Donohue and Sirri Discuss SEC Hot Topics

March 15, 2009


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SEC Sues Portfolio Manager Over Committee Minutes

January 16, 2009


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OCIE Posts Model Exam Request List

November 14, 2008


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Form ADV, Books and Records, Fund Boards: Update from the Division of Investment Management

November 7, 2008


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Update on Timing of Division Projects

October 24, 2008


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Compliance in the Midst of a Market Crisis

October 10, 2008
Here is a suggested list of steps to take, tests to perform, and risks to evaluate during the current market crisis.

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A Bit More About That DOL-SEC MOU

September 1, 2008


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Getting Practical With GIPS: Tricks and Traps For Advisers to Watch For

May 16, 2008
No one ever said that GIPS compliance is easy.

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OCIE’s Top 10 Areas of Focus in Adviser Exams

March 24, 2008


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New OCIE Technology Office Aims to Ease Electronic Production Burden

March 17, 2008


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