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BD Compliance Toolbox

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.
Click here to download a Word file courtesy of Karen Huey of Professional Compliance Assistance in Woodstock, Ga. This is an attestation form for reps ...
A peer passes on the firm's policies and procedures for marketing.
A peer shares a copy of the initial document request letter the firm received for an SEC exam of a broker-dealer.
This two-page questionnaire can be used by staff to alert you to their outside business activity.
Click here to open a Word file that is a memo designed to educate staff about cybersecurity.
This is a checklist that contains nearly 60 items you could test against your cybersecurity approaches. It also includes a threat and vulnerability assessment.
A peer shares a template for auditing a branch office.
A peer passes on the firm's checklist for inspecting its branch offices
A peer shares a template used to inspect both a B-D and an IA branch office.
A peer passes on a checklist the firm's B-D uses to inspect branch offices for compliance.
A cyber checklist of the steps a firm took to create a cyber program.
Seven pages of common exam deficiencies from FINRA.
A peer shares this document, which is used to have clients acknowledge how the firm is paid and other compensation information.
In April 2015, the Department of Justice put out these best practices for victims of cyber-attacks to consider following.
Click here to open an Excel spreadsheet that's a tool to help assess the cybersecurity of third-parties your firm works with.
Click here to open a Word file from a peer that can serve as an attestation form for staff. Employees would attest to understanding the ...
This letter, from the SEC's Los Angeles Regional Office, went to a broker-dealer in 2014. This letter features an unusual table of data that examiners ...
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