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
Privacy Policy
At Coulter Strategic Services, we respect your privacy and are committed to protecting it. This Privacy Policy explains how we collect, use, disclose, and safeguard your information when you visit our website and use our services.
1. Information We Collect
We may collect information about you in a variety of ways. The information we may collect on the website includes:
Personal Data: Personally identifiable information, such as your name, shipping address, email address, and telephone number, and demographic information, such as your age, gender, hometown, and interests, that you voluntarily give to us when you register with the website or when you choose to participate in various activities related to the website, such as online chat and message boards.
Derivative Data: Information our servers automatically collect when you access the website, such as your IP address, your browser type, your operating system, your access times, and the pages you have viewed directly before and after accessing the website.
2. Use of Your Information
Having accurate information about you permits us to provide you with a smooth, efficient, and customized experience. Specifically, we may use information collected about you via the website to:
Assist law enforcement and respond to subpoena.
Compile anonymous statistical data and analysis for use internally or with third parties.
Create and manage your account.
Deliver targeted advertising, coupons, newsletters, and other information regarding promotions and the website to you.
3. Disclosure of Your InformationWe may share information we have collected about you in certain situations. Your information may be disclosed as follows:
By Law or to Protect Rights: If we believe the release of information about you is necessary to respond to legal process, to investigate or remedy potential violations of our policies, or to protect the rights, property, and safety of others, we may share your information as permitted or required by any applicable law, rule, or regulation.
