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Use the links below to view "This Month In Compliance" for 2022.
12-2022 TMIC
Annual Review Template
11-2022 TMIC
Compliance Manual Template Updates
10-2022 TMIC
2022 Annual Compliance Meeting Presentation
09-2022 TMIC
08-2022 TMIC
Advertising & Marketing Policy & Procedures
CRP SEC Compliance Manual Template
Sample Disclosures
07-2022 TMIC
Marketing Rule Implementation Checklist
Sample Disclosure Language
SEC New Advertising Rule
06-2022 TMIC
2022 Risk Assessment
Sample Referral Agreement
05-2022 TMIC
04-2022 TMIC
Agreement Sample Execution Page
03-2022 TMIC
Crypto Currency Attestation
02-2022 TMIC
DOL PTE Rollover & IRA Transfer Policy
Education Only: Review of Client Consideration Attestation
Rollover Spreadsheet Log
Rollover Worksheet
Unsolicited Transaction - Client Attestation Form
01-2022 TMIC
Annual ADV Amendment Checklist
Annual IAR Review & Attestation
Technology Device Inventory
12-2022 TMR
Annual Review PTE 2020-02
11-2022 TMR
09-2022 TMR
08-2022 TMR
BCP Testing Strategies Checklist
Advertising & Marketing Review Checklist
Performance Advertising Checklist
Testimonial & Endorsement Marketing Review Checklist
Third-Party Rating Marketing Review Checklist
07-2022 TMR
Training Powerpoint
Best Execution Review Checklist
06-2022 TMR
Advertising & Marketing Policy & Procedures (.pdf)
Advertising & Marketing Policy & Procedures (.doc)
05-2022 TMR
Sample Disclaimer Performance
04-2022 TMR
03-2022 TMR
02-2022 TMR
Rollover Worksheet
DOL Presentation Slide Deck
01-2022 TMR