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Compliance Best Practices (995)
Your search for Compliance Best Practices returned 995 results.
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7/18/2019 | Content area: Investment Adviser
Having an entity test its ability to infiltrate your network stands as a confirmed cybersecurity best practice.   However, you may want to ask your ve...
7/18/2019 | Content area: Investment Adviser
Facebook entrepreneur Mark Zuckerberg wasn’t even in high school when the SEC issued its 1996 guidance on e-delivery. It’s encouraging that the Commis...
7/18/2019 | Content area: Investment Adviser
And the beat goes on. For six years running, cybersecurity has remained the biggest compliance concern at SEC-registered investment adviser firms, acc...
7/11/2019 | Content area: Investment Adviser
With credit card issuers touting awards like airline miles, hotel stays, cash back and more for using their credit cards, it’s little wonder clients m...
7/05/2019 | Content area: Investment Adviser
Early debates among Democratic Presidential candidates attest to the vigorous election season that awaits – a perfect time to ponder the reach of the ...
7/04/2019 | Content area: Investment Adviser
Capterra helps firms make wise software purchases. The firm’s buying guide includes helpful tips, such as to define your needs first (see related stor...
7/03/2019 | Content area: Investment Adviser
Nary a compliance officer can be found today who doesn’t depend upon technology to do the job. A good decision results in saving you time and effort. ...
6/19/2019 | Content area: Investment Adviser
A long-confirmed best practice has advisers showing OCIE examiners a “day one” PowerPoint presentation to introduce their visitors to their firm.   Be...
6/04/2019 | Content area: Investment Adviser
Your local coffee shop may produce a quality cup of joe and offer you free Wi-Fi but be cautious that the service doesn’t come with a malicious slice ...
5/30/2019 | Content area: Investment Adviser
After the FBI busted Kevin Merrill and his Ponzi scheme last September, the Maryland man used handwritten notes flashed to his wife on the other side ...
5/30/2019 | Content area: Investment Adviser
Surprises are certainly the enemy of compliance. Given that staff interviews are a growing staple of most SEC exams, conducting mock interviews with k...
5/23/2019 | Content area: Investment Adviser
The bell for round 2 of the SEC’s liquidity risk management rule rings June 1 for mutual funds with more than $1 billion in assets. The first round en...
5/23/2019 | Content area: Investment Adviser | Broker-Dealer
During recent examinations, the Office of Compliance Inspections and Examinations (“OCIE”)∗ identified security risks associated with the storage of e...
5/23/2019 | Content area: Investment Adviser
Cybersecurity concerns have driven OCIE May 23 to release a new risk alert urging investment advisers and broker-dealers to “actively oversee any vend...
5/23/2019 | Content area: Investment Adviser
This Fact Sheet from the SEC, FINRA and NASAA provides general information regarding the Senior Safe Act with the goal of educating financial institut...
5/16/2019 | Content area: Broker-Dealer
In new guidance released May 6, FINRA is offering nearly 100 anti-money laundering “red flags” that broker-dealers should be watching for. Way back in...
5/09/2019 | Content area: Investment Adviser
When you and your staff calm down after an event that triggered the launching of your business continuity plan, know that the cyber bad guys could be ...
5/03/2019 | Content area: Investment Adviser
Richard Chen of Richard L. Chen PLLC in New York shares a checklist to help guide an adviser's annual review of its business continuity plan.
5/02/2019 | Content area: Investment Adviser
In retrospect, the liens filed against Charles Winstead provided a warning that he deserved extra attention. The former Nationwide Securities’ insuran...
5/02/2019 | Content area: CPO/CTA
The recent NFA exam of a CPO adviser in the south went swimmingly, according to the firm’s CCO. One reason may be because the firm doesn’t have an ext...


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