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Compliance Toolbox

Steben & Company's process as outlined at Professional Compliance Assistance's compliance conference in Atlanta in 2016
A peer shares an LOA that has been successfully used to confirm the registration of accounts at third parties prior to sending wire transfers. This ...
Krista Zipfel, former CEO/president of Advisor Solutions Group in Newport Beach, Calif., shares her firm's advertising checklist.
A peer shares the firm's form used by compliance to document necessary reviews of advertisements
A peer passes on a checklist the firm's B-D uses to inspect branch offices for compliance
Use this cheat sheet for structuring your annual review
This annual employee questionnaire comes from a peer
A peer's checklist for use by compliance staff to assess if a proxy vote would run into a conflict with the firm. This includes procedures ...
A peer shares a portion of the firm's code of ethics. These are sample policies and procedures for gifts and entertainment as well as pay-to-play.

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