Home Broker-Dealers BD Compliance Toolbox

BD Compliance Toolbox

While both broker-dealers and investment advisers may be subject to a best interest standard of conduct, there are significant differences in the customer/client relationship covered
After the compliance date, OCIE staff intends to engage in examinations to assess broker-dealers’ implementation and operational effectiveness of Regulation Best Interest
A peer shared this example of a policy and procedure for anti-money laundering
Form CRS or elationship summary.
This is the SEC form required to be filed by large traders.
A peer shares an Excel file the adviser uses to "score" its broker-dealers as part of its best execution review
Hypothetical Relationship Summary for a Registered Investment Adviser Prepared By SEC Staff – For Illustrative Purposes Only.
Hypothetical Relationship Summary for a Registered Investment Adviser Prepared By SEC Staff – For Illustrative Purposes Only.
Advisers should review their practices, policies, and procedures to ensure compliance with their advisory agreements and representations to clients in light of the fee and ...
A peer passes on the firm's policies and procedures for marketing.
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination