Conquering Current Compliance Challenges
Sept. 26, 2018 | 2:00 - 2:30 PM EST

Ethics: The Compliance Officer’s Role in Encouraging Your Firm
to Do the Right Thing

Oct. 23, 2018 | 2:00 - 3:00 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: August 15, 2018 
 
HANDBOOKS
  Includes: 9 Best Practices, 3 Proposed Disclosure Mockups
and a 60-minute Audio Webinar

The Adviser's Guide to SEC Advertising and Marketing Rules
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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