FREE WEBINAR

End of Year Compliance Wrap Up

On Wednesday, November 28th (2018) NorthPoint Compliance co-hosted a webinar with MyCompliance Office. Presenters Victoria G. Hogan and Colleen Montemarano discussed how to best wrap up 2018 and prepare for 2019. Topics discussed included: Annual Compliance Review, Employee Attestations, Updating the Compliance Manual and Firm Risk, and Setting up Your Program to Mitigate Employee Misconduct Risk in 2019. If you missed the presentation, you can watch it on-demand.

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IA WATCH FREE WEBINAR

Ethics: The Compliance Officer’s Role in Encouraging Your Firm to Do the Right Thing

On Tuesday, October 23rd (2018), Victoria was part of a panel of experts who discussed business ethics, what your peers do, and ideas to try for your compliance programs.  Please click the link below for more information.

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IA WATCH WEBINAR

20th annual IA Compliance: The Full 360° View East - Navigating the Shifting Landscape of IA Compliance

Victoria presented at IA Watch’s 20th Annual IA Compliance Conference in Washington DC, March 21-23, 2018.  She was part of a panel of experts who discussed last-minute advice on how to answer the dramatically new Form ADV.  Please click the link below for more information.

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FREE WEBINAR

SEC 2018 Exam Priorities

On February 21st (2018) NorthPoint Compliance co-hosted a webinar with MyCompliance Office. Presenters Victoria G. Hogan and Colleen Montemarano reviewed the SEC’s National Exam Program Examination Priorities for 2018. This presentation included tips for registered investment advisers regarding compliance policies and how to conduct reviews that will prepare your program for a visit from SEC examiners.  Below is the link to segments of the recording of the presentation.

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Compliance Resources

Resources

Form CRS Guidance

A guide to answer your questions on the Form CRS filing and delivery requirements.   If you are having trouble viewing the document please click here to view or download.
Resources

Exception to Reporting Requirements

Under the SEC’s Code of Ethics rule, access persons are required to report their personal holdings and securities transactions on a periodic basis, although an exception is made if such…
Resources

Questions for Your Traders

During an SEC examination, it is common for examiners to ask traders to “walk-through” how client trades are placed. Below is a list of specific questions that your traders may…
Resources
Disciplinary Questionnaire
Resources
Trade Blotter Review
Resources
Form ADV – Part 2A Checklist

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