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IA Compliance Toolbox

This is a cybersecurity checklist shared with permission of ISO Services
Larger firms should find this checklist beneficial as well
Take some ideas from one of your peer's gifts and entertainment policies
A peer shares the firm's policies and procedures for maintaining records
Here's another P&P for returning to work during the pandemic
Employees who use mass transit will not want to use it to commute and may have difficulty with transportation for a number of reasons
It has become possible that some type of pandemic like SARS or Ebola would require employees to abandon one or more of our offices and ...
While we remain in a remote work posture, you may find it necessary to visit the office for a specific purpose
While both broker-dealers and investment advisers may be subject to a best interest standard of conduct, there are significant differences in the customer/client relationship covered
Proxy Voting
A peer has shared a copy of the firm's proxy voting guidelines
An example of the SEC's proposed 'tailored' shareholder report for mutual funds
"Include any considerations and limitations on making recommendations to retail customers (including when recommendations must be documented) and the disclosures must be made to retail ...
Provide a "list of any individuals or groups (e.g., internal committees, working groups, or transition teams), if any, assigned responsibility to oversee or manage the ...
Examiners asked for the names of clients lost , including the reason, method that the termination was communicated, termination date, and the account asset value ...
This is the document request letter OCIE sent to an adviser. It focuses strictly on cybersecurity
This was a general exam of an investment advisory firm
This exam of an RIA began in 2020
This exam covered many topics, including private funds, asking "whether the fund pays carried interest and whether the fund is currently in-the-money or out-of-the-money for ...
This is an example of a matrix for a firm's annual review in an Excel format
This guide was designed to help private fund advisers with their annual review. It comes courtesy of Karen Huey of Professional Compliance Assistance in Woodstock, ...
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