As Compliance Professionals, we often hear, “Can’t we just have a checklist?” The world of compliance can seem overwhelming and a simple checklist might appear to be a quick solution. However, it’s important to remember that compliance is a complex field that varies greatly from one firm to another.

That being said, Coulter Strategic Services recognizes the need for a structured approach to compliance. Here is a compliance task list that covers the general areas that Registered Investment Advisers need to incorporate into their compliance programs. While this isn’t a one-size-fits-all solution, it serves as a solid foundation upon which you can build a compliance program that suits your firm’s unique needs.

Stay tuned for more updates and resources from Coulter Strategic Services to help you Navigate Compliance.

GENERIC SIMPLE COMPLIANCE CHECK LIST

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GENERIC SIMPLE COMPLIANCE CHECK LIST

PRIVACY POLICY

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