IA Compliance: The Full 360° View East 
March 7-8, 2019 | Washington, D.C.

UPCOMING WEBINARS

Conquering Current Compliance Challenges
Dec. 12, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: November 14, 2018 
 
HANDBOOKS
  Includes: 9 Best Practices, 3 Proposed Disclosure Mockups
and a 60-minute Audio Webinar

The Adviser's Guide to SEC Advertising and Marketing Rules
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

 
PORTFOLIO MANAGEMENT OVERVIEW
Managing portfolios provides la raison d'être for investment advisers. The purpose of the entire business is to help either generate returns or maintain a portfolio’s value.
 
It’s one of the reasons why the SEC’s compliance rule recommends advisers create compliance P&Ps for portfolio “management processes, including allocation of investment opportunities among clients and consistency of portfolios with clients’ investment objectives, disclosures by the adviser, and applicable regulatory restrictions.”
 
This is another area rife with conflicts. They include many that would be seen in trading, e.g., allocating trades that consistent favor one client over another or saving successful trades for the adviser and shuffling inferior ones to clients.
 
Testing and monitoring portfolio management for signs of trouble make up a key task of compliance staff.

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