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Compliance Toolbox

Bill Sowell of Sowell Financial Services in North Little Rock, Ark., gives us permission to share with you his firm's document destruction P&P
Here's an example of an agreement to share information between parties
Use this form to survey staff on their use of social media
The Commission released these Oct. 8, 2020. They emphasize how to report disciplinary histories
Examiners request extensive documents, including P&Ps and due diligence on cloud vendors
This is the British regulator's stance that helped resolve OCIE's moratorium on new registrations of UK RIAs
A peer shares the firm's form for tracking changes to its compliance policies and procedures
This is a section of the SEC Form N1-a, which is used by mutual funds. This particular section, on the calculation of performance data, has ...
A checklist to use when opening a new account
A 10-point questionnaire for advisers to ask clients as a means of planning for their elder years. This comes courtesy of Sandy Adams, CFP and ...

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