IA- 2019 Investment Adviser Compliance Calendar Update NY Office of the Attorney General Library The updated Broker-Dealer Best Execution

The updated Broker-Dealer Best Execution Review Checklist is a useful tool and guide when meeting the requirements for conducting regular and rigorous reviews as part of a broker-dealer’s obligation to obtain best execution when handling customer orders

The Quarterly Compliance Review Checklist helps adviser firms organize and conduct a series of quarterly compliance reviews and certifications to assess their level of compliance that includes twenty separate areas of risk and compliance (including new Reg

The Form CRS Relationship Summary Template for Broker-Dealers is part of SEC’s Regulation Best Interest (Reg BI) due June 30

a broker-dealer firm shall require that each of its partners

shall form the basis and understanding of the advisory agreement for this account

IA- 2019 Investment Adviser Compliance Calendar Update NY Office of the Attorney General Library The updated Broker-Dealer Best ExecutionThe 2019 Investment Adviser Annual Compliance Calendar Update serves as a valuable resource guide when preparing, planning and updating your annual compliance program. The Annual Compliance Calendar Update is intended to keep investment advisers informed of date specific and event driven compliance reporting requirements, filing deadlines and rule references, as well as provide information on market holidays and events that may affect investment