Conquering Current Compliance Challenges
Oct. 9, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: Sept. 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 BEST EXECUTION COMPLIANCE TOOLBOX
7/18/2018 | Content area: Investment Adviser
A peer shares an Excel file the adviser uses to "score" its broker-dealers as part of its best execution review.
7/17/2018 | Content area: Investment Adviser
This is Janus Henderson Investors' best execution policy.
1/16/2018 | Content area: Investment Adviser
A peer shares the RIA's compliance manual, complete with numerous P&Ps.
12/08/2017 | Content area: Investment Adviser
Check out this sample of a best execution policy.
4/05/2017 | Content area: Investment Adviser
This is a sample best execution policy from a peer.
12/22/2015 | Content area: Investment Adviser
A peer shares a form that lays out how the firm compares brokers.
11/12/2015 | Content area: Investment Adviser
A peer shares an example of his firm's "scorecard" for judging which brokers to use under its best execution policy.
11/09/2015 | Content area: Investment Adviser
Click here to open an Excel file that is a template for tracking best execution. This file comes with formulas to make comparisons of brokers easy. A ...
12/04/2013 | Content area: Investment Adviser
Click here to open a Word file that is a best execution checklist. This document comes courtesy of National Compliance Services in Delray Beach, Fla. ...
6/16/2011 | Content area: Investment Adviser
This is an example of a questionnaire firms can give to employees to spot potential conflicts of interest. This comes courtesy of Victoria Hogan of No...
4/12/2010 | Content area: Investment Adviser
Click here to open an Excel worksheet designed to track the top 10 brokers selected for best execution purposes, including listing soft dollar percent...
3/01/2008 | Content area: Investment Adviser
3/01/2008 | Content area: Investment Adviser
3/01/2008 | Content area: Investment Adviser
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