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 COMPLIANCE TOOLBOX
1/04/2019 | Content area: Investment Adviser
Click here to open an Excel file that is described as OCIE's latest request for how examined firms should construct their trade blotters. This comes c...
1/01/2019 | Content area: Investment Adviser
This primer is written by Lauri London. She is in private law practice with the firm of Cohen & Buckmann PC where she advises clients on investment ad...
12/11/2018 | Content area: Investment Adviser
This is a code of the board's revised code that takes effect in October 2019.
11/15/2018 | Content area: Investment Adviser
This is the list of FAQs released by the SEC's Division of Investment Management in November 2018.
11/14/2018 | Content area: Investment Adviser
SIFMA has produced an example of a form you can give clients to obtain a trusted contact to reach out to in case the need arises. Find more from SIFM...
11/12/2018 | Content area: Investment Adviser
The SEC’s Office of the Investor Advocate engaged the RAND Corporation to conduct a nationwide survey and qualitative interviews of investors to gathe...
11/02/2018 | Content area: Investment Adviser
The Commission brought 821 actions (490 of which were “stand alone” actions) and obtained judgments and orders totaling more than $3.9 billion in disg...
10/24/2018 | Content area: Investment Adviser
Bill Sowell of Sowell Financial Services in North Little Rock, Ark., gives us permission to share with you his firm's document destruction P&P.
10/24/2018 | Content area: Investment Adviser
A peer shares a Word file that is a checklist to use before hiring any solicitor, finder, third-party placement agent or such.
10/18/2018 | Content area: Investment Adviser
A peer shares a checklist that can guide you on what you need to do before someone is hired.
10/18/2018 | Content area: Investment Adviser
A peer shares a questionnaire designed for a potention new hire. It asks about legal issues so as to uncover a "bad actor." It ends with a space for t...
9/19/2018 | Content area: Investment Adviser
Form N-LIQUID is to be used by a registered open-end management investment company, or series thereof (“fund”), under the Investment Company Act of 19...
9/18/2018 | Content area: Investment Adviser
This is the SEC's Form N-Port, including filing instructions.
9/11/2018 | Content area: Investment Adviser
This exam letter, from 2018, asks detailed questions about the adviser's mutual fund.
9/11/2018 | Content area: Investment Adviser
A peers shares the firm's recent exam document request letter.
8/14/2018 | Content area: Investment Adviser
Here's a portion of an OCIE document request letter dealing with cryptocurrencies.
8/10/2018 | Content area: Investment Adviser
Here's an example of a firm's compliance manual.
7/31/2018 | Content area: Investment Adviser
Read all the instructions, including General Instructions for Form ADV, General Instructions for Part 2 of Form ADV, Instructions for Part 2A of Form ...
7/25/2018 | Content area: Investment Adviser
A sources shares with IA Watch a copy of an OCIE document request letter that focuses on how the adviser handles cryptocurrencies.
7/23/2018 | Content area: Investment Adviser
A peer shares a form the adviser developed to help reps acquire information necessary should an elderly client's cognitive state decline. You're cauti...
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