Click here to open an Excel file that is a template displaying the data required to be reported under the EU's Packaged retail investment and insurance ...
Click here to open an Excel file that is the European Working Group's template containing data points that a U.S.-based adviser that has parties in ...
A peer shares a copy of OCIE's exam letter that included a look at private equity.
A peer shares an example of a supplement to a subscription agreement to make ERISA reps and warranties because of the Labor Department's fiduciary duty ...
This report from 2017 is reproduced here with permission of the Association for Corporate Growth. This 35-page report covers hot compliance issues along with recommended ...
Click here to open a Word file that is a memo designed to educate staff about cybersecurity.
Click here to open a Word file contributed by SEC3 Compliance Consultants in Phoenixville, Pa. This is a list of 30 SEC exam preparation tips ...
This example of a compliance policy and procedure for cybersecurity comes from Ben Anderson of Anderson PLC in Minneapolis.
Steben & Company's process as outlined at Professional Compliance Assistance's compliance conference in Atlanta in 2016.
A peer shares the firm's new cybersecurity policies and procedures.
The Council is providing this public update on its review of potential risks to financial stability that may arise from certain asset management products and ...
The Institutional Limited Partners Association permits IA Watch to include a link to the group's latest template to help private equity fund advisers report their ...
This report provides a summary of recent private fund industry statistics and trends, reflecting data collected through Form PF and Form ADV filings. Form PF ...
In April 2015, the Department of Justice put out these best practices for victims of cyber-attacks to consider following.
Click here to open a Word file that a peer assembled based on the SEC's document request letter received by the firm in a 2014-2015 ...
Click here to open an Excel spreadsheet that's a tool to help assess the cybersecurity of third-parties your firm works with.
Click here to open a Word document shared by a peer. This is an example of a consulting agreement between the adviser and a cybersecurity ...
Click here to open a Word file from a peer that can serve as an attestation form for staff. Employees would attest to understanding the ...
This is an example from a peer of the firm's policies and procedures for use of predecessor performance data. These P&Ps are based on GIPS ...
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