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IA Compliance Toolbox

A sample code of ethics
This is AllianceBernstein's COE.
This tool comes courtesy of Karen Huey, president of Professional Compliance Assistance in Woodstock, Ga.
OCIE Exam Priorities - Regulatory Compliance Watch
This short exam letter from the West includes a focus on fees.
This is an example of a brochure supplement from an actual advisory firm.
This is an advisory firm's brochure supplement.
Here's an example of an adviser's Form ADV brochure and brochure supplement.
Grab an example of a Form ADV brochure and brochure supplement from J.P. Morgan.
Here's an example of an adviser's brochure supplement.
This is a copy of an adviser's OCIE document request letter from a 2018 exam that focused on custody.
OCIE Exam Priorities - Regulatory Compliance Watch
An adviser received this OCIE request letter in 2018. The exam focuses on ESG (environmental, social and governance) and SRI (socially responsible investing).
OCIE Exam Priorities - Regulatory Compliance Watch
This late 2018 document request letter asks the adviser about selection of mutual fund shares classes for clients.
OCIE Exam Priorities - Regulatory Compliance Watch
An adviser received this initial document request letter in 2019.
Read these instructions carefully before filing Form ADV. Failure to follow these instructions, properly complete the form, or pay all required fees may result in ...
Form CRS or elationship summary.
This Fact Sheet from the SEC, FINRA and NASAA provides general information regarding the Senior Safe Act with the goal of educating financial institutions and ...
The Enforcement Manual (“Manual”) is a reference for staff in the Division of Enforcement (“Division” or “Enforcement”) of the U.S. Securities and Exchange Commission (“SEC” ...
Richard Chen of Richard L. Chen PLLC in New York shares a checklist to help guide an adviser's annual review of its business continuity plan.
Richard Chen of Richard L. Chen PLLC in New York shares this checklist to help advisers when bringing on new clients.
This exam request letter went to an advisory firm in 2019.
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