IA Compliance: The Full 360° View East
March 21-23 | Washington, D.C.

IA Compliance: The Full 360° View Midwest
June 25 | Chicago, IL
Conquering Current Compliance Challenges
Mar. 7, 2018 | 2:00 - 2:30 PM EST

FinTech: What It Is and How Its Promise Will Affect You Going Forward
Mar. 27, 2018 | 2:00 - 3:00 PM EST
CLE/CPE Approved 
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: Feb. 7, 2018 
 
Your Complete Guide to the New Form ADV
Includes: 20 Best Practices, 6 Peer-tested Tools and a 60-minute Webinar 

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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