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