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Compliance Toolbox

Get the jump on your next exam
Lauri London, counsel at Cohen & Buckmann, pens her analysis of the SEC's IA fiduciary duty interpretation and whether the interpretation plows new legal ground.
This P&P comes courtesy of Michelle Jacko, CEO of Core Compliance and Jacko Law Group in San Diego.
This chart, dated from August 2019, shows the organization of the Commodity Futures Trading Commission.
This is AllianceBernstein's COE.
A sample code of ethics
This tool comes courtesy of Karen Huey, president of Professional Compliance Assistance in Woodstock, Ga.
This short exam letter from the West includes a focus on fees.
Here's an example of an adviser's brochure supplement.
This is an example of a brochure supplement from an actual advisory firm.
This is an advisory firm's brochure supplement.
Here's an example of an adviser's Form ADV brochure and brochure supplement.
Grab an example of a Form ADV brochure and brochure supplement from J.P. Morgan.
This is a copy of an adviser's OCIE document request letter from a 2018 exam that focused on custody.
An adviser received this OCIE request letter in 2018. The exam focuses on ESG (environmental, social and governance) and SRI (socially responsible investing).
This late 2018 document request letter asks the adviser about selection of mutual fund shares classes for clients.
An adviser received this initial document request letter in 2019.
Read these instructions carefully before filing Form ADV. Failure to follow these instructions, properly complete the form, or pay all required fees may result in ...
Form CRS or elationship summary.
This Fact Sheet from the SEC, FINRA and NASAA provides general information regarding the Senior Safe Act with the goal of educating financial institutions and ...

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