Conquering Current Compliance Challenges
Aug. 14, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
INVESTMENT ADVISER ADVERTISING/MARKETING COMPLIANCE TOOLBOX
1/01/2019 | Content area: Investment Adviser
This primer is written by Lauri London. She is in private law practice with the firm of Cohen & Buckmann PC where she advises clients on investment ad...
2/13/2018 | Content area: Investment Adviser
A peer shares the firm's checklist in guiding its compliance review of the RIA's marketing. This checklist appears in a series of Excel worksheets.
2/13/2018 | Content area: Investment Adviser
Krista Zipfel, CEO/president of Advisor Solutions Group in Newport Beach, Calif., shares her firm's advertising checklist.
2/06/2018 | Content area: Investment Adviser
Thanks go to Michael S. Caccese, Chairman of the Management Committee and Practice Area Leader - Financial Services at K&L Gates LLP, for giving us pe...
1/11/2018 | Content area: Investment Adviser
A peer shares an example of a policy and procedure for advertising, sales and marketing.
9/14/2017 | Content area: Investment Adviser
A peer shares the firm's policies and procedures for marketing materials and advertising.
9/14/2017 | Content area: Investment Adviser
A peer shows you the firm's policies and procedures for communications, including advertising, social media and more.
3/23/2017 | Content area: Investment Adviser
Here are sample guidelines for staff that do broadcast, TV, video and other media interviews. This comes from Core Compliance & Legal Services in San ...
1/12/2017 | Content area: Investment Adviser
This is an example of how one RIA advertises its performance. It includes a benchmark by which to compare the firm's results, along with necessary dis...
1/10/2017 | Content area: Investment Adviser
A peer shares the firm's form used by compliance to document necessary reviews of advertisements.
1/06/2017 | Content area: Investment Adviser
This is a section of the SEC Form N1-a, which is used by mutual funds. This particular section, on the calculation of performance data, has been cited...
11/12/2015 | Content area: Investment Adviser
This chart shows how to present past-specific recommendations in line with the SEC's TCW no-action letter.
1/20/2015 | Content area: Investment Adviser | Private Fund
This is an example from a peer of the firm's policies and procedures for use of predecessor performance data. These P&Ps are based on GIPS rules.
10/13/2014 | Content area: Investment Adviser
Click here to open a Word file that includes examples of two sample disclosures firms may consider adding to their websites. These disclosures give th...
3/20/2013 | Content area: Investment Adviser
A peer shares the authorization form the firm uses to get permission from a client to publish her name.
3/19/2013 | Content area: Investment Adviser
Click here to open a Word file that is an example of a client authorization form to be included in firm newsletters and its website. This comes courte...
12/12/2012 | Content area: Investment Adviser | Private Fund
Click here to open a Word file that a peer shares. It is a template for how to document testing around advertising.
8/16/2011 | Content area: Investment Adviser | Private Fund
A peer shares the firm's policy for social media, email and other e-communications.
5/04/2011 | Content area: Investment Adviser | Private Fund
Click here to download a Word template, courtesy of Aaron De Angelis of Spring Mountain Capital in New York, that can aid in the tracking of approvals...
4/05/2011 | Content area: Investment Adviser
Click here to obtain a peer's electronic communications and social networking policy.
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