Conquering Current Compliance Challenges
Aug. 14, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
TRADING COMPLIANCE TOOLBOX
1/21/2018 | Content area: Investment Adviser
A peer shares a one-page primer aimed at helping staff understand their responsibilities under the firm's personal trading section of its code of ethi...
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.
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...
11/26/2013 | Content area: Investment Adviser
Click here to open a Word file that is an example of a peer's annual certification form for staff to attest to having read the firm's code of ethics.
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.
11/30/2011 | Content area: Investment Adviser
This is a form, courtesy of Victoria Hogan, president, NorthPoint Compliance in Red Bank, N.J., that can be used when a staffer claims an exception ap...
10/12/2011 | Content area: Investment Adviser
Click here to open a Word file that is an example of a firm's code of ethics. This comes courtesy of Lori Renzulli, GC/CCO of Harding Loevner Manageme...
6/02/2011 | Content area: Investment Adviser
A peer shares examples of how the firm encourages staff to report possible violations to the CCO through its compliance manual and code of ethics.
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