Home Investment Advisers IA Compliance Toolbox

IA Compliance Toolbox

Use this tool to reveal a vendor's approach to privacy and cybersecurity
Check out this due diligence questionnaire
Thanks go to Michael S. Caccese, Chairman of the Management Committee and Practice Area Leader - Financial Services at K&L Gates LLP, for giving us ...
This form consists of two separate accredited investor questionnaires (one applicable to individuals and one applicable to entities)
Bart McDonald of Renaissance Regulatory Services in Boca Raton, Fla.
This exam originated in the SEC's Boston Regional Office
Use this tool to improve your oversight of your firm's advertising
A compliance program risk and gap analysis tool courtesy of Krista Zipfel in Newport Beach, Calif.
"For the main office and any branch office, please provide any written interim or annual compliance reviews"
Examiners asked for the adviser's compliance "framework (including the use of all third party service providers who assist with compliance (i.e., law firms and consultants))
"you may securely send the requested data via email"
A peer shares the firm's form it uses to document a client's investment objectives
Karen Huey of Professional Compliance Assistance in Woodstock, Ga., gives us permission to share with you her 18-point guide to an on-site exam by OCIE.
An 8-page cybersecurity questionnaire for your vendors
The Alternative Investment Management Association grants us permission to share this with you
An example of a compliance policy and procedures
Get the jump on your next exam
Lauri London, counsel at Cohen & Buckmann, pens her analysis of the SEC's IA fiduciary duty interpretation and whether the interpretation plows new legal ground.
This P&P comes courtesy of Michelle Jacko, CEO of Core Compliance and Jacko Law Group in San Diego.
Former SEC official and now Proskauer Partner Robert Plaze permits RCW to share his guide to the Advisers' Act custody rule.
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination