How-To

• Chief Compliance Officer
• Compliance Program
  • Compliance Manual
  • Compliance Program Recommendations
  • Compliance Program Requirements
  • Compliance System
  • Role of IT in Compliance
  • Tone at the Top
• Contracting with Clients and Service Providers
  • Standard Advisory Contract Clauses
• Drafting and Negotiating Contracts
• Designations
• Documentation and Content Management
• Getting Started
  • Adviser Location
  • Adviser Registration
  • Adviser Type
  • Back Office Set-Up
  • Business Plan
  • Choosing a Name
  • Corporate Governance Document
  • Entity vs. Sole Proprietorship
  • Form of Entity Selection
  • Formation Document
  • Licensing Personnel
  • Marketing Plan
  • Obtaining an EIN
  • Other Licensing and Registration
  • Service Providers
  • Solo vs. Established Firm
• Policies and Procedures
  • Advertising and Marketing Oversight
    • Balancing Act
    • Client Communications
    • Disclaimers
    • GIPS
    • Marketing Activity Inventory
    • Media Interviews
    • Newsletters
    • Performance Advertising
    • Records of Advertisements
    • Social Media
    • Speeches, Seminars and Webinars
    • Web Site
  • Anti-Money Laundering Detection and Prevention
    • AML Program
    • Bank Secrecy Act Requirements
    • Customer Identification Procedures
    • Correspondent Accounts
    • OFAC Restrictions
    • Other AML Areas
  • Books and Records Management
    • Document Destruction
    • Format
    • Litigation/SEC Enforcement Inquiry
    • Non-Resident Advisers
    • OCIE Examinations
    • Permanent Records
    • Recordkeeping After Deregistration as an Adviser
    • Required Records
    • Safeguarding Client Assets
    • Timing
  • Brokerage and Best Execution
    • Approved Broker Lists
    • Brokerage Conflicts
    • Defining Best Execution
    • Monitoring and Testing Brokerage Practices
  • Conflicts of Interest
    • Identifying Conflicts of Interest
    • Disclosing Conflicts of Interest
    • Obtaining Consent
  • Custodying Client Assets
  • Cybersecurity Attacks
  • Disaster Recovery and Business Continuity
  • Disclosure Documents
  • Disclosure Delivery
  • Employee Licensing
  • Family Office Considerations
  • Fees and Expenses
  • Fiduciary Duty Obligation
  • Foreign Advisory Operations
  • Fraudulent Acts
  • Gift Giving and Entertaining
  • Insider Trading Prevention
  • Investment Management and Advice
  • Pay-to-Play Activities
  • Personal Trading - Code of Ethics
  • Privacy Programs
    • Delivery of Privacy Notice and Policy
    • Privacy Policy
    • Privacy Procedures
    • Safeguarding Client Assets
  • Red Flags and ID Theft
  • Reviewing Client Accounts
  • Securities Exchange Act and Other Reports
  • Social Media Use by Firm and Employees
    • Business Social Media Sites
    • Certification
    • Content
    • Information Security
    • Monitoring Use of Social Media
    • Social Media Recordkeeping
    • Social Media Training
    • Usage Guidelines
  • Soft Dollar Arrangements
  • Solicitor and Cash Referral Fee Arrangements
  • Sub-Adviser Relationships
    • Monitoring Sub-Advisers
    • Retention
    • Sleeve and Overlay Management
    • Sub-Adviser Arrangement Records
    • Sub-Adviser Due Diligence
    • Sub-Advisory Contracts
    • Sub-Adviser Wrap Account Arrangements
  • Trading Operations
  • Valuing Client Portfolio Assets
  • Voting Proxies
    • Foreign Proxies
    • Proxy Voting Contractual Provision
    • Proxy Voting Procedures
    • Types of Securities Managed
    • Voting and Outsourcing Voting
    • Who Votes
  • Wrap Account Arrangements
• SEC Enforcement Tips
  • Preliminary Investigations
  • Formal Investigations
  • Investigation Approach
  • Staff Recommendations to the Commission
  • Administrative Actions
• Supervisory Structure
• Surviving an SEC Exam
• Understanding Whistleblowers

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