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.
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