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Compliance Toolbox

Another custody sweep exam letter from a 2020 OCIE exam of an advisory firm
Check out the degree of OCIE's interest in custody
A peer shares the firm's custody checklist
"Cyber threat actors are becoming more aggressive and sophisticated"
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 this document
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 ...
This form consists of two separate accredited investor questionnaires (one applicable to individuals and one applicable to entities)
Bart McDonald of Renaissance Regulatory Services in Boca Raton, Fla.
This exam originated in the SEC's Boston Regional Office
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.
"For the main office and any branch office, please provide any written interim or annual compliance reviews"
Examiners asked for the adviser's compliance "framework (including the use of all third party service providers who assist with compliance (i.e., law firms and consultants))

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