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The Compliance Record & SourcebookTM
With Annual Update Service and Electronic Documents
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"I wish I had a resource like this years ago!"
"This is a hands-on, how-to guide, not some regulatory treatise. It tells you what to do, why, and how to do it."
"Not cookie cutter resource like you get from other consultants and lawyers."
This is what DMA clients are saying about The Sourcebook.
Introducing The Compliance Record and SourcebookTM, a publication of DMA. There is simply nothing like it available today. With over 40 subject tabs, the Sourcebook is designed to assist small to mid-sized firms in their efforts to organize their annual compliance program into a single source of compliance information, checklists, calendars, reports, model documents and proprietary policies and procedures. The Sourcebook comes in three editions:
Broker-Dealer
Investment Adviser, and
Hedge Fund
The Sourcebook comes with an assortment of forms, designed for every area of compliance supervision, from trade reviews to AML monitoring. It is ideal for managers and compliance officers of small firms, and its loose-leaf format allows for easy customization. Its large size (3.5 inch rings) allows for substantial storage of reports, memos and other written materials.
The Sourcebook also comes with a flash drive containing pre-loaded forms and an extensive model documents library, as well as selected FINRA, SEC and other regulatory organization releases, no-action letters, guidance memos and other useful information.
Subscribers also receive free one year update service.
The introductory rate (through April 30, 2010) is $395, plus shipping and handling ($495 after April 30).
Designed by compliance professionals for both compliance and non-compliance executives and managers, the Sourcebook is a valuable tool that will help busy executives and managers to maintain an active and organized compliance program that will help their firms survive any regulatory examination.
Click here for Order Form.
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