SEC Exam - Best Practices Checklist
These are examples of best practices for an investment adviser firm during a routine examination by the SEC or a state securities regulator. Included with Bronze, Silver, Gold and Platinum Packages.
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Product Description
These are examples of best practices for an investment adviser firm during a routine examination by the SEC or a state securities regulator. This checklist covers the following periods associated with an investment adviser examination: (a) after notification but prior to the interview or visit by the securities regulator; (b) during the visit; (c) during an interview; and (d) after the interview/visit. This list shouldn’t be considered a comprehensive of all possible issues or best practices. This sample checklist is not a substitute for working with a compliance professional and legal counsel.
This sample form should be considered as a starting point; the investment adviser firm will need to customize this sample form to its business model and policies and procedures. Please see our disclosure about the limitations of sample form at http://www.ria-compliance-consultants.com/ria_express_investment_advisor_compliance_tools/sample-forms/
This sample document is delivered via the purchaser’s online subscription account with RIA Compliance Consultants. If the purchaser does not have an online subscription account, after the purchase, the purchaser will receive a follow-up email directing the purchaser to establish online subscription account. This step will need to completed before our systems can deliver the sample document. For an instructional video, please visit http://ria-compliance-consultants.com/subscription-account-demo/
Included with Bronze, Silver, Gold and Platinum. Initially posted in August 2018. Updated May 2021.