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Compliance Policies & Procedures (155)
Your search for Compliance Policies & Procedures returned 155 results.
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9/05/2019 | Content area: Broker-Dealer
Deficient trading reviews conducted by an inexperienced and untrained compliance associate has led to SEC charges that a New York-based broker-dealer ...
6/07/2019 | Content area: Private Fund
The very first line of the SEC settlement summary pulls no punches, offering words of caution to all private fund advisers. “Valuation of client asset...
4/11/2019 | Content area: Broker-Dealer
The brokerage industry certainly sees its fair share of movement of registered reps from one firm to the next and across financial services firms oper...
4/05/2019 | Content area: Investment Adviser
John Brennan, head of technology at Highfields Capital Management in Boston gives us permission to share his IS policy as reprinted in the book, The I...
3/21/2019 | Content area: Investment Adviser
A CCO peer shares the table of contents from the advisory firm's compliance manual.
11/29/2018 | Content area: Investment Adviser
The commencement of OCIE’s “Cyber 3” initiative (IA Watch, March 27, 2018) is expected at any time now, but the specter of being caught in a regulator...
10/24/2018 | Content area: Investment Adviser
Bill Sowell of Sowell Financial Services in North Little Rock, Ark., gives us permission to share with you his firm's document destruction P&P.
8/23/2018 | Content area: Investment Adviser
BKS Advisors had a compliance manual that included a “Block Order Allocation” policy aimed at preventing unfair trade allocations.  But that policy di...
8/23/2018 | Content area: Investment Adviser
Cross trading practices inconsistent with its compliance P&Ps, regulatory compliance manual and Forms ADV have yielded SEC charges against a New York-...
8/16/2018 | Content area: Investment Adviser
Jeffrey Davis, an Ameriprise rep based in Virginia, notified the dual registrant of the name of his outside business. Later, when Davis fraudulently s...
8/16/2018 | Content area: Investment Adviser
A new settlement with an adviser first caught up in an OCIE sweep exam launched four years ago looking at wrap fee programs attests to the need for sp...
8/15/2018 | Content area: Investment Adviser
This matter concerns the failure of Ameriprise, a dually-registered investment adviser and broker-dealer, to adopt and implement policies and procedur...
8/14/2018 | Content area: Investment Adviser
This matter arises from Lockwood’s failure to adopt and implement policies and procedures reasonably designed to prevent violations of the Advisers Ac...
8/10/2018 | Content area: Investment Adviser
Here's an example of a firm's compliance manual.
7/26/2018 | Content area: Broker-Dealer
Mizuho Securities USA’s compliance training materials stressed the expectation of confidentiality concerning clients’ buyback order information. Slide...
7/17/2018 | Content area: Investment Adviser
This is Janus Henderson Investors' best execution policy.
7/05/2018 | Content area: Private Fund
It is an oft-repeated refrain at industry conferences and in regulators’ speeches: fees and expenses of private equity fund advisers are a definite fo...
6/28/2018 | Content area: Broker-Dealer
The 2011 integration of Wells Fargo and Wachovia triggered the adoption of a number of written compliance policies. One such policy prohibited Wells F...
6/14/2018 | Content area: Broker-Dealer
Flawed compliance and surveillance procedures can trip up even the largest of firms. Merrill Pierce, Pierce, Fenner & Smith makes the case. The dual r...
5/31/2018 | Content area: Investment Adviser
You no doubt have been getting multiple e-mails from various parties touting their new privacy policies, detailing opt-in notices and calling out that...

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