What’s New

January 2019

Webinars

Recorded Webinar – SEC 2019 Exam Priorities for RIAs & Tips for Making Sure You’re Prepared

Upcoming Webinar – Form ADV Amendments – Once a Year May Not Be Enough

Sample Forms

Suitability – Recommending Proprietary Investment or Fund Checklist

Custody – Spreadsheet for Reviewing Qualified Custodian’s Account Documentation for Inadvertent Custody

SEC Exam – Response to Deficiency or Findings Letter from Securities Regulator

August 2018

Webinars

Recorded Webinar – Compliance Concerns for Investment Advisers Working with Senior Investors and Vulnerable Clients

Upcoming Webinar – Conducting and Documenting an Annual Review of RIA Policies and Procedures

Sample Forms

WSP/CoE Section Update –Schedule 13 Filings

Outside Business Activity – Investigation Checklist

Bank – Client Acknowledgement – RIA Not Bank and Investment not Insured

Advertising – Case Studies – Guiding Principles

Conflict of Interest – FP – Varying Compensation for Insurance/Securities – Client Acknowledgement

Conflict of Interest – Financial Planning – Recommending Products with Varying Commissions

Due Diligence – Alternative Investment – Review Form

What’s New – July 2018

Webinars

Recorded Webinar – Investment Advisory Fees and Other Expenses

Upcoming Webinar – Compliance Concerns for Investment Advisers Working with Senior Investors and Vulnerable Clients

Senior Safe Act

WSP/CoE Section Update – Protecting Older and Vulnerable Clients with Diminished Capacity

Protecting Older Clients – Training Powerpoint

Protecting Older Client – Training Quiz

State Senior Financial Exploitation Reporting Requirements

Senior/Vulnerable Clients – Client Authorization to Communicate with Trusted Emergency Contact

Senior Safe Act – Protecting Older and Vulnerable Clients Compliance Package

2018 Investment Adviser Compliance Conference

What’s New – June 2018