Regulatory Authorities

du Pasquier is regulated by the following authorities:

Order Routing

du Pasquier & Co. has prepared this report pursuant to SEC Rule 606 requiring all brokerage firms to make publicly available quarterly reports on their order routing practices. more +

Margin Disclosure Statement

Your securities brokerage firm (your introducing securities broker dealer and/or your introducing securities broker dealer’s clearing firm) is furnishing this document to you to provide some basic facts about purchasing securities on margin, and to alert you to the risks involved with trading securities in a margin account. more +

Breakpoint Disclosure Statement

Before investing in mutual funds, it is important that you understand the sales charges, expenses, and management fees that you will be charged, as well as the breakpoint discounts to which you may be entitled. more +

Business Community Plan (BCP)

du Pasquier & Co, Inc. has developed a Business Continuity Plan (BCP) on how we will respond to events that significantly disrupt our business. more +

Anti-Money Laundering Requirements

Please view important questions and answers regarding the USA PATRIOT Act by clicking on FINRA Anti-Money Laundering. more +


 DPAM SEC Form ADV Part 2A

 DPAM SEC Form ADV Part 2B –  Wrap Fee Program

 DPAM SEC Form ADV Part 2A – Appendix – Wrap Fee Brochure