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미국 투자자문 컴플라이언스 키트

윤리강령, 임직원 개인거래, 의결권 행사, 최선집행, 소프트 달러, 마케팅 심사, 이해상충 등록부, Form ADV Part 2A, 연간 컴플라이언스 검토.

1단계

정책

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

    전체

    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)

    전체

    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)

    전체

    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

    전체

    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
2단계

모니터링

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

    전체

    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

    전체

    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)

    전체

    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
3단계

공개와 보안 권고

  1. SEC Form ADV Part 2A Firm Brochure Template

    전체

    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
4단계

Well-Architected 검토

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

    전체

    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)