Compliance Outreach Program — Resources and Handouts
May 12, 2017
- 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
Last Reviewed or Updated: Oct. 16, 2014