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Conquering Current Compliance Challenges
June 14, 2017 | 2:00 PM – 3:00 PM
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September 18, 2017 | Boston, MA
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INVESTMENT ADVISER COMPLIANCE TOOLBOX
Advertising/Marketing
Example of Performance Advertising
1/12/2017
Marketing approval form
1/10/2017
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Annual Review
Instructions for Testing from ASC
1/05/2015
Annual Review Matrix 2015
1/02/2015
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Best Execution
Example of a Best Execution Review
12/22/2015
Best Ex Scorecard
11/12/2015
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Books and Records
Account Review Form
3/02/2016
Conflicts Questionnaire 1
4/17/2014
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Business Continuity Planning
BCP: Planning for a Variety of Events
3/22/2016
Business Continuity Policies and Plan
3/22/2016
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Code of Ethics
Code of Ethics and Personal Trading Policy
8/25/2015
Example Code of Ethics
2/09/2015
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Custody
Standing Letters of Authorization Decision Tree
4/18/2017
Custody memo for the transfer of client funds
11/16/2016
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Cybersecurity
Cybersecurity checklist for small firms
5/25/2017
Data Breach Incident Response Plan
2/03/2017
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Form ADV
Form ADV Review Checklist
2/17/2017
Red-lined version showing Form ADV changes
9/08/2016
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Portfolio Management
Trade Allocation Policy
6/25/2012
Trade Rotation Policy
8/03/2011
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Proprietary Trading
Form 13F
6/02/2014
Risk Assessment Checklist
3/27/2012
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SEC Examinations
OCIE's 2017 Exam Priorities
1/12/2017
SEC exam request letter, Boston
4/18/2016
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Soft Dollars
Soft Dollars P&P 2015
1/28/2015
Soft Dollar & Commissions Worksheets
5/19/2014
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Trading
Cross Trade Form
12/01/2015
Non-Approved Holdings Checklist
4/13/2015
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Valuation
Valuation P&P
11/20/2013
2013 SEC Exam Request Letter
10/30/2013
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