Steelbridge Compliance, a compliance consulting firm to investment advisers based in Dallas, Tex. (located just a mile from FPPad world headquarters), yesterday released a copy of a recent examination request list from the SEC.
The request document is 28 pages and covers much of the standard areas for inspection including trading history, itemized lists of all client accounts, and two years of all email history.
Notably absent from the February 2011 document is a request for the adviser’s use of social media, including Facebook, Twitter, and LinkedIn.
Click here to visit the Steelbridge Compliance blog and download the notice.
