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Compliance Toolbox

A peer shared this example of a policy and procedure for anti-money laundering
Sample this IA contract
Stephanie Elliott, CCO at Chapin Davis in Baltimore shares some questions the firm has reps pursue when considering moving an brokerage client to the IA ...
A peer shares a sample trade allocation policy
A peer shares a copy of a subscription agreement that includes terms relevant to clients in various countries
A peer shares the firm's form for reporting outside business activity
A peer shares items that should be found within a new client's folder.
Check out this sample of a best execution policy
Use this tool to reveal a vendor's approach to privacy and cybersecurity
Check out this due diligence questionnaire
Thanks go to Michael S. Caccese, Chairman of the Management Committee and Practice Area Leader - Financial Services at K&L Gates LLP, for giving us ...
Bart McDonald of Renaissance Regulatory Services in Boca Raton, Fla.
Use this tool to improve your oversight of your firm's advertising
A compliance program risk and gap analysis tool courtesy of Krista Zipfel in Newport Beach, Calif.
A peer shares the firm's form it uses to document a client's investment objectives
Karen Huey of Professional Compliance Assistance in Woodstock, Ga., gives us permission to share with you her 18-point guide to an on-site exam by OCIE.
An 8-page cybersecurity questionnaire for your vendors
The Alternative Investment Management Association grants us permission to share this with you
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.

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