Latest publications

NSCP Currents - Compliance Year-End Preparation Checklist

Featured in the December 2017 edition of the National Society of Compliance Professionals ("NSCP")  Currents  publication, our Lead Senior Compliance Consultant,  Tina Mitchell , provides guidance on compliance and what you should be thinking about to prepare for 2018. 

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Latest publications

NSCP Currents - What Advisors Need to Do for Upcoming Changes to Form ADV

Featured in the July 2017 edition of the National Society of Compliance Professionals ("NSCP") Currents publication, our Lead Senior Compliance Consultant, Tina Mitchell, describes the essentials for advisors to prepare for the upcoming changes to Form ADV. 

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Charles Schwab Compliance Review - Custody compliance: Creating more clarity

November 21, 2014

July 2014

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Charles Schwab – Compliance Review: Referral Arrangements and Referral Fees: What You Should Consider

January 31, 2014

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Wolters Kluwer Practical Compliance & Risk Management For the Securities Industry - Today's Social Media Challenges: What Compliance Professionals Need to Know

September 11, 2013

Sept./Oct. 2013

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The Importance of An Adviser’s Annual Review

April 09, 2013

Mar./Apr. 2013

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Thomson Reuters - Best Execution and the Investment Adviser: Policies and Procedures to Meet the Obligation

October 04, 2012

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Charles Schwab Compliance Review - Trading Compliance

September 17, 2012

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Wolters Kluwer Practical Compliance & Risk Management For the Securities Industry - Investment Adviser Performance Marketing and Advertising – What You Need to Know

July 19, 2012

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Thomson Reuters - Practical Tips for an Investment Advisor (IA) Code of Ethics

June 07, 2012

Nov. 2011

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Thomson Reuters - Insurance Licenses: How to Navigate the Current Requirements

March 23, 2012

Mar. 2012

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NSCP Currents - Private Fund Regulation: SEC Examination and Enforcement Hot Topics

November 30, 2011

Nov/Dec. 2011

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NSCP Currents - Privacy Best Practices and Updates on Regulation S-P

October 31, 2009

Nov/Dec. 2009

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NSCP Currents - The Private Fund Investment Advisers Registration Act of 2009

June 30, 2009

Jul/Aug. 2009

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