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UPCOMING CONFERENCES
IA Compliance: The Full 360
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March 7-8, 2019 | Washington, D.C.
IA Compliance: The Full 360
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June 7, 2019 | Dallas, TX
UPCOMING WEBINARS
Conquering Current Compliance Challenges
Mar. 13, 2019 | 2:00 - 2:30 PM EST
Strategies to Make this Year’s Form ADV Update a Breeze
Feb. 19, 2019 | 2:00 - 2:30 PM EST
RECORDED WEBINARS
Conquering Current Compliance Challenges
Recorded: February 13, 2019
HANDBOOKS
The SEC Examinations Priorities Handbook (2019 Edition)
Includes:
Best Practices, Document Request Letters and OCIE Risk Alerts
The Adviser's Guide to SEC Advertising and Marketing Rules
Includes:
23 Best Practices, 5 Peer-tested tools and 15 No Action Letters
Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes:
24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance
INVESTMENT ADVISER COMPLIANCE TOOLBOX
SEC Form N-2
2/04/2019
SEC Form N-3
2/04/2019
SEC Form N-4
2/04/2019
SEC Form N-5
2/04/2019
SEC Form N-6
2/04/2019
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Advertising/Marketing
Overview of SEC Advertising Rules for Advisers
1/01/2019
Advertising & Marketing Checklist
2/13/2018
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Annual Review
Annual Review Matrix
1/02/2018
Sample Risk Matrix
3/12/2017
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Best Execution
A Broker-Dealer Scorecard for Best Execution
7/18/2018
Best Execution Policy
7/17/2018
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Books and Records
Document Destruction P&P
10/24/2018
Record Keeping Retention P&P
5/21/2018
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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
COE Snapshot
1/21/2018
Compliance Manual
1/16/2018
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Custody
OCIE exam letter from the New York Regional Office
9/11/2018
Top 10 Custody Myths
3/12/2018
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Cybersecurity
OCIE document request letter with a focus on cybersecurity
2/13/2018
Compliance Manual
1/16/2018
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Form ADV
Instructions for completing the Form ADV Brochure
7/31/2018
New Form ADV FAQs tied to the revised form
10/02/2017
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Portfolio Management
Trade Allocation Policy
6/25/2017
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
A Trade Blotter example requested by OCIE
1/04/2019
SEC Form 1661
4/17/2018
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Soft Dollars
Soft Dollars P&P
1/28/2017
Soft Dollars & Commissions Worksheets
5/19/2014
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Trading
Compliance Manual
1/16/2018
Best Ex Policy
12/08/2017
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Valuation
Compliance Manual
1/16/2018
Valuation P&P
11/20/2013
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