David E. McClean & Associates // DMA
Framing Compliance as Enterprise Risk™
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RULES & STATUTES
Investment Advisers Act of 1940 -
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FORMS
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Clients, See Model Forms for other useful forms, samples and templates
SEARCH TOOLS
FSA Registered Companies Search
BVI Entity Search
Cayman Entity (including funds) Search
OFAC Search Tool
(Use for AML Compliance)
Bureau of Industry & Security Lists
(Use for AML Compliance)
Investment Adviser Search Tool
Broker-Dealer/Broker Search Tool
Delaware Corporation Records Search
New York Corporation Records Search
NFA Search (Persons, Pools, Firms)
SEC Full Document Search
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US Entity Search
Federal Tax Identification Numbers
SEC Company Search (via EDGAR)
