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 TRADING COMPLIANCE TOOLBOX
1/16/2018 | Content area: Investment Adviser
A peer shares the RIA's compliance manual, complete with numerous P&Ps.
12/08/2017 | Content area: Investment Adviser
Check out this sample of a best execution policy.
6/25/2017 | Content area: Investment Adviser
A peer shares a sample trade allocation policy.
12/01/2015 | Content area: Investment Adviser
A peer shares an example of a form that provides details of a cross trade.
4/13/2015 | Content area: Investment Adviser
Click here to open a Word file from a peer. The adviser uses this form to document due diligence of non-recommended or non-approved holdings.
1/05/2015 | Content area: Investment Adviser | Private Fund
These are instructions for how to conduct a transaction analysis for forensic testing around trading. This comes courtesy of Krista Zipfel, CEO/presid...
6/02/2014 | Content area: Investment Adviser
This SEC document is required to be completed quarterly by investment managers with discretion over accounts holding Section 13(f) securities that hav...
12/13/2012 | Content area: Investment Adviser
A peer shares policies and procedures around quantitative investing.
3/12/2012 | Content area: Investment Adviser | Private Fund
This is a draft guide produced by the SEC in 2012 to help firms that wish to file their Form PFs using an XML Format.
8/03/2011 | Content area: Investment Adviser
This is a trade rotation policy From Knightsbridge Asset Management in Newport Beach, Calif.
7/19/2011 | Content area: Investment Adviser
This is an example of a trade correction policy.
4/19/2011 | Content area: Investment Adviser
Click here to download a peer's personal trading policy.
© 2019 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US