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IA Compliance Toolbox

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CCO Liability: Actions to take to reduce your risks

CCO Liability Carl Ayers -
This tool comes courtesy of Ben Anderson, principal with his law firm Anderson PLC in Minneapolis

General Ledger Checklist

Compliance Best Practices Carl Ayers -
This checklist for general ledger reviews comes courtesy of Ryan Sawyer, CFA, CPA of Sawyer Assurance in Dallas

Example of Performance Advertising

Advertising/Marketing Carl Ayers -
This is an example of how one RIA advertises its performance. It includes a benchmark by which to compare the firm's results, along with necessary ...

Sample Branch Office Audit Report

Branch Office Carl Ayers -
A peer shares a template for auditing a branch office

DOE ESG exam letter

Examinations: Document Request Letters Carl Ayers -
A source shares a recent SEC exam letter that focuses on ESG and private funds

Example of annual AML training

Anti-Money Laundering Carl Ayers -
Theresa Manderski, first VP, Compliance & AML Officer at Davenport & Company in Richmond, Va., shares a copy of her PowerPoint file used for her ...

Example of a subsequent response in a Wells Notice investigation

Compliance Best Practices Carl Ayers -
General Counsel/CCO Bob Chung of Arete Wealth Advisors in Schaumburg, Ill., shares a subsequent response to a Wells Notice investigation

DOE document request letter

Examinations: Document Request Letters Carl Ayers -
A source shares a 2021 DOE exam letter

DOE document request letter

Examinations: Document Request Letters Carl Ayers -
A source shares a 2021 DOE exam letter

DOE document request letter

Examinations: Document Request Letters Carl Ayers -
A source shares a 2021 DOE exam letter
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