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  • Compliance
  • Examination Priorities
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  • Compliance Outreach Program
    • Compliance Outreach Program for Investment Adviser and Investment Company Chief Compliance Officers
    • Compliance Outreach Program for Municipal Advisors
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    • National Compliance Outreach Program for Broker-Dealers
  1. Home
  2. Compliance
  3. Compliance Outreach Program for Investment Adviser and Investment Company Chief Compliance Officers
  4. Compliance Outreach Program — Resources and Handouts

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

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