Markdown Editor
Editor öffnen

Kit Compliance US-Anlageberater

Ethikkodex, Mitarbeitergeschäfte, Stimmrechtsausübung, Best Execution, Soft Dollars, Marketing-Prüfung, Interessenkonfliktregister, Form ADV Part 2A und jährliche Compliance-Prüfung.

Schritt 1

Richtlinien und Regeln

  1. Investment Adviser Code of Ethics Template (SEC Rule 204A-1)

    Vollständig

    Access persons, conduct standards, pre-clearance and blackouts, holdings and trade reports, gifts, pay-to-play, MNPI, sanctions, records, EU annex

    SEC Rule 204A-1; Rule 204-2; Rule 206(4)-5; MiFID II Delegated Reg (EU) 2017/565 Arts 28, 29 and 37

  2. Proxy Voting Policy Template (SEC Rule 206(4)-6, SRD II)

    Vollständig

    Voting authority register, principles, topic guidelines, voting process, proxy adviser oversight, conflicts, share recall, non-voting, escalation, N-PX and SRD II disclosure, records

    SEC Rule 206(4)-6 and 204-2(c)(2); Form N-PX; SRD II Art. 3g; Reg (EU) 231/2013 Art. 37

  3. Best Execution Policy Template (MiFID II Art. 27, Delegated Reg 2026/825, SEC)

    Vollständig

    Order execution policy: factor ranking by class, venue and broker list, routing, allocation, instructions, OTC price checks, PFOF ban, TCA thresholds, review

    MiFID II Art. 27 (as amended by 2024/790); MiFIR Art. 39a; Delegated Reg (EU) 2017/565 Art. 64-70; Delegated Reg (EU) 2026/825; SEC IA-5248

  4. Research and Soft Dollar Policy Template

    Vollständig

    Research payment policy: Section 28(e) three-step test, mixed-use allocation, CSA budget and broker vote, MiFID II research options after the Listing Act

    Exchange Act Section 28(e); SEC Release 34-54165; MiFID II Art. 24 as amended by Directive (EU) 2024/2811; Delegated Directive (EU) 2017/593 Art. 13
Schritt 2

Überwachung

  1. Personal Trading Report Template (Holdings, Transactions, Pre-clearance)

    Vollständig

    Reporter and household, deadlines, holdings, accounts, quarterly transactions, pre-clearance and IPO requests, exemptions, review tests, certification

    SEC Rule 204A-1(b), (c); Rule 204-2(a)(13)

  2. SEC Marketing Rule Review Checklist Template

    Vollständig

    Pre-use review of adviser ads: Rule 206(4)-1 prohibitions, net and gross performance, 1/5/10 years, testimonials, ratings, EU Art. 44, records

    SEC Rule 206(4)-1 (Marketing Rule); Rule 204-2; Delegated Reg (EU) 2017/565 Art. 44; ESMA34-45-1272

  3. Conflicts of Interest Policy and Register Template (MiFID II, SEC)

    Vollständig

    Conflicts policy, governance RACI, identification triggers, Art. 33 criteria, L x I rating, register, controls, last-resort disclosure, inducements, breaches, MI

    MiFID II Art. 23; Delegated Reg (EU) 2017/565 Art. 33-35; AIFMD Art. 14; SEC Advisers Act s.206
Schritt 3

Offenlegung und Advisories

  1. SEC Form ADV Part 2A Firm Brochure Template

    Vollständig

    Form ADV Part 2A firm brochure, Items 1 to 18 in order, material changes, fees, conflicts, soft dollars, Part 2B supplement, filing and delivery calendar

    SEC Form ADV Part 2 (SEC 1707, 08-22); Advisers Act Rules 204-1, 204-3
Schritt 4

Well-Architected-Review

  1. Annual Compliance Review Template (SEC Rule 206(4)-7)

    Vollständig

    Scope and method, business and rule changes, risk inventory, testing by area, rated findings, remediation, policy changes, prior findings, evidence index

    SEC Rule 206(4)-7; Rule 204-2(a)(17)