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 SOFT DOLLARS COMPLIANCE TOOLBOX
1/28/2017 | Content area: Investment Adviser
Click here to open a Word file of a sample soft dollars policy and procedures shared by a peer.
5/19/2014 | Content area: Investment Adviser
Click here to open an Excel file courtesy of Karen Huey of Professional Compliance Assistance in Woodstock, Ga. The worksheets within this Excel file ...
7/03/2012 | Content area: Investment Adviser
Click here to open a Word document that is an example of a soft dollar disclosure, courtesy Nancy Lininger, a consultant with The Consortium in Camari...
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...
3/29/2010 | Content area: Investment Adviser
Click here to see a Word document prepared by Steve Stone, a partner at Morgan Lewis in Washington, on soft dollars guidance for RIAs.
10/22/2009 | Content area: Investment Adviser
Examples of Form ADV Part II disclosures regarding soft dollars, courtesy of Fifth Third Asset Management in Cincinnati.
1/01/2007 | Content area: Investment Adviser
1/01/2007 | Content area: Investment Adviser
© 2019 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US