Compliance Outreach Program — Resources and Handouts

• The Evolving Compliance Environment: Examination Focus Areas
   
• Safeguarding Clients’ Assets Under Management Through Asset Verification and Reconciliation
   
• Summary of Recent SEC Rulemaking Initiatives
   
• Questions Advisers Should Ask Regarding Their Compliance Program
   
• Investment Adviser Scenario Analysis/Risk Matrix
   
• Examiner Oversight of Annual Reviews
   
• Helpful Resources
   
• Information for Newly-Registered Investment Advisers
   
• Examination Process and Risk Assessment
   
• Information Requested and Tests Performed in Key Focus Areas
   
• Information For Small Advisers
   
• Dodd-Frank Rulemaking Initiatives
   
• Information Regarding Top Deficiencies Found During Examinations
   
• Risk Assessment Flowchart
   
• Red Flag Legend