Conquering Current Compliance Challenges
June 12, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

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

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
TRADING POLICIES & PROCEDURES
5/18/2018 | Content area: Investment Adviser
Perhaps you can gain ideas for your P&Ps from this example.
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.
8/25/2015 | Content area: Investment Adviser
A peer shares her firm's code of ethics and personal trading policy.
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...
12/13/2012 | Content area: Investment Adviser
A peer shares policies and procedures around quantitative investing.
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.
7/14/2011 | Content area: Investment Adviser | Private Fund
Click here to open a Word file that contains a peer's policy and attestation for employees to sign in an effort to prevent insider trading at the firm...
4/19/2011 | Content area: Investment Adviser
Click here to download a peer's personal trading policy.
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