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A. Company
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A-01 Company Organization
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A-02 Code of Ethics
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A-03 Company History & Tax Returns
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A-04 Internal Procedures Overview
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A-05 Compliance Risk Assessment (New)
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A-06 Internal Controls
(New)
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B. Marketing
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B-01 Prospecting Letters
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B-02 Advertisements
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B-03 Newsletters
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C. Clients
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C-01 Communications
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C-02 Advisory Contracts
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C-03 Client Lists
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D. Investments
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D-01 Discretionary Accounts and Powers of Attorney
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D-02 Investment Recommendations
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D-03 Trading
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D-04 Performance Reporting to Clients
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D-05 Personal Securities Transactions
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D-06 Insider Trading Policy
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D-07 Custody
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E. Accounting
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E-01 Cash Receipts & Billing
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E-02 Accounts Payable
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E-03 Bank Statements
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E-04 Accounting Reports
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F. Regulatory
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F-01 Form ADV - Current Copy
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F-02 Form ADV Disclosure Statement (Brochure)
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F-03 Regulatory Registrations
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F-04 Surety Bonds
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F-05 Complaint & Litigation Files
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F-06 Regulatory Inspections
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F-07 Compliance Review
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G. Policies & Procedures
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G-01 Telephone Act
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G-02 Internet Policy
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G-03 E-Mail Policy
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G-04 Privacy Policy
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G-05 Money Laundering
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G-06 Best Execution
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G-07 Soft Dollars
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G-08 Proxy Voting
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G-09 Record Retention and Destruction
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