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 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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