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IA Compliance Toolbox

A peer shares a copy of an SEC DOE exam letter that drilled down on cybersecurity
A source shares a compilation of cybersecurity questions asked of advisers by SEC examiners
A peer shares a copy of the FINRA exam letter that focused on Reg BI compliance
ERISA-covered plans often hold millions of dollars or more in assets and maintain personal data on participants, which can make them tempting targets for cyber-criminals. ...
John Brennan, head of technology at Highfields Capital Management in Boston gives us permission to share his IS policy as reprinted in the book, The ...
This is a DOE exam letter recently received by an advisory firm
A peer shares the advisory firm's IM agreement
A peer shares a template used to inspect both a B-D and an IA branch office
A peer passes on the firm's checklist for inspecting its branch offices
This 18-page document displays an example of a Franklin Templeton investment management agreement

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