Commitment to Compliance
September 17 | Philadelphia

The SEC’s Three Fiduciary Duty-Related Proposals
October 15 | NYC | Information Coming Soon

IA Compliance: The Full 360° View West 
November 8 | San Francisco | Information Coming Soon

For attendance information, please contact Terry Green
1-800-455-5844 ext. 8004
TGreen@blr.com

For exhibitor opportunities, please contact Andrea Trout
301-675-4262
atrout@culeaders.com

UPCOMING WEBINARS

Conquering Current Compliance Challenges
August 15, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: July 11, 2018 
  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

 
BOOKS AND RECORDS COMPLIANCE TOOLBOX
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.
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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