What’s New

December 2019

Sample Forms

Cybersecurity – Best Practices for RIA Collecting Devices for Digital Forensic Expert

Cybersecurity – Best Practices for Avoiding and Responding to Phishing Attacks

Assignment/Change of Ownership – Client Letter – Confirmation of New Owner After 60 Day Notice with 45 Day Rescission – No Response

Cybersecurity – Training to Avoid Phishing

November 2019


An Investment Adviser Firm’s IARD Renewals

Sample Forms

Outside Business Activity – Acknowledgement that Rep’s Non-Profit Board of Director’s Activity Is Outside of RIA

October 2019


Tips for Preparing Your Form ADV Annual Amendments

April 2019

Sample Forms

Cybersecurity – Website Security Checklist for an Investment Adviser

March 2019


Recorded Webinar – How an Investment Adviser Can Create & Maintain a Strong Culture of Compliance

Sample Forms

Annual Financial Report – Cover Letter for California

Communications – Social Media & Electronic Messaging Annual Questionnaire

February 2019


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

January 2019


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


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


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