IA Compliance: The Full 360° View East 
March 7-8, 2019 | Washington, D.C.

UPCOMING WEBINARS

Conquering Current Compliance Challenges
Feb. 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: January 16, 2019 
  Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

The SEC Examinations Priorities Handbook
Includes: 28 Best Practices, 20 Document Request Letters and 6 OCIE Risk Alerts

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
INVESTMENT ADVISER BOOKS AND RECORDS COMPLIANCE TOOLBOX
10/24/2018 | Content area: Investment Adviser
Bill Sowell of Sowell Financial Services in North Little Rock, Ark., gives us permission to share with you his firm's document destruction P&P.
5/21/2018 | Content area: Investment Adviser
A peer shares the firm's policies and procedures for maintaining records.
1/16/2018 | Content area: Investment Adviser
A peer shares the RIA's compliance manual, complete with numerous P&Ps.
4/10/2017 | Content area: Investment Adviser
A peer shares a checklist for ensuring that your trade tickets or trade blotters contain the necessary items to satisfy the Investment Advisers Act's ...
4/04/2017 | Content area: Investment Adviser
This is an example of a trade ticket submitted by a peer.
3/01/2017 | Content area: Investment Adviser
Click here to open a Word document that is an example, from one of your peers, of a proxy voting policy.
2/20/2017 | Content area: Investment Adviser
A peer shares a portion of the firm's code of ethics. These are sample policies and procedures for gifts and entertainment as well as pay-to-play.
3/02/2016 | Content area: Investment Adviser
A peer grants IA Watch permission to share with you the firm's account review form. This could serve as documentation for a client's risk tolerances a...
4/17/2014 | Content area: Investment Adviser | Private Fund
A peer shares an example of the firm's conflicts questionnaire, issued to staff annually as a way for compliance to spot new potential conflicts of in...
10/30/2013 | Content area: Investment Adviser
Click here to open a Word file submitted by one of your peers. This is an example of a form employees would sign annually attesting that they acknowle...
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