- Journals, ledgers, account statements (including bank and trust statements), appraisals, etc., that support all assets and investments
- Analysis and reports from investment managers and consultants as well as performance measurement data
- Certificates, documents, statement of additional information (if a mutual fund), confirmations, and any and all necessary items depicting evidence of ownership of assets and investments
- Annual copies of Form ADV for each money manager, along with certification by the manager that appropriate registrations under the Investment Advisers Act of 1940 and the State Securities Board are maintained. In addition, the manager should certify that there is no material litigation pending against the manager that involves allegations of a breach of fiduciary duty or securities law violations
- For qualified plans, proof of satisfaction of the ERISA bonding requirements for all fiduciaries (including money managers and trustees) dealing with plan assets
- A detailed report of investment transaction turnover, costs, fees, and expenses
This collection of articles from IMCA's Investments & Wealth Monitor focus on after-tax returns of active and passive funds, choices in active and passive, and...
Combined fee-based and commission-based businesses are on the rise. See how this adaptable model offers flexibility, while helping you maximize opportunities with access to a...
In this presentation, CEO of Cambridge Eric Schwartz shares with you details on solving the challenges facing independent advisors, including business continuity and succession planning.
Jun 30, 2015
Join ThinkAdvisor & Well Fargo in this webcast to learn a dynamic four criteria approach and how to gain portfolio flexibility.
Jun 09, 2015
Join ThinkAdvisor for this live, interactive webcast and hear from the winners of the 2015 SMA Mangers of the Year on impact investing strategies and...
May 14, 2015
Join leading advisors from Laserfiche to learn how to harness ECM power and efficiency to your firm.