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Compliance Best Practices (1009)
Your search for Compliance Best Practices returned 1009 results.
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9/12/2019 | Content area: Investment Adviser
As an attorney, Dan Ball would be hired by investment advisers to advise them on legal and compliance issues. Then, one long-time client had an epipha...
9/12/2019 | Content area: Investment Adviser
You may be alarmed when you think it took the SEC 178 pages in its Form CRS rule to help you produce a new two-page disclosure document (IA Watch, Jun...
9/04/2019 | Content area: Investment Adviser
This Risk Alert provides an overview of the most common compliance issues identified by the Office of Compliance Inspections and Examinations (“OCIE”)...
8/29/2019 | Content area: Investment Adviser
December 1 marks the date by which mutual fund advisers managing under $1 billion in assets must come into compliance with the SEC’s liquidity risk ma...
8/29/2019 | Content area: Investment Adviser
A Chicago investment adviser is behind bars, charged with swindling his clients, and the compliance office at his former firm may have helped put him ...
8/29/2019 | Content area: Investment Adviser
A Los Angeles grand jury has indicted a California man on charges that he bilked dozens of investors out of millions of dollars by offering them “risk...
8/27/2019 | Content area: Investment Adviser
A peer shares the firm's P&Ps and reporting form for handling trade errors.
8/15/2019 | Content area: Investment Adviser
Ed Butowsky has a lot going on.   Since 2005, he has run Chapwood Capital Investment Management ($191M in AUM) in Plano, Texas, with little fanfare. B...
8/15/2019 | Content area: Investment Adviser
It’s happened again. The SEC Aug. 13 settled an enforcement action – this time against an exempt-reporting adviser – for failing to disclose conflicts...
8/01/2019 | Content area: Investment Adviser
Two cases within one week involving different regulators espouse the value of checking out staff and prospective employees. OCIE’s latest risk alert s...
8/01/2019 | Content area: Investment Adviser
Sometimes predictions come true. Several CCOs report to RCW that their OCIE exams have stretched out due to the government’s record long shutdown earl...
7/25/2019 | Content area: Investment Adviser
The recent earthquakes in southern California jolted even long-time residents used to a sometimes unsteady ground.   “It was like a rolling motion. It...
7/25/2019 | Content area: Investment Adviser
The same day OCIE put out its latest risk alert the agency held another outreach meeting, this time in Philadelphia (IA Watch, July 23, 2019). A CCO i...
7/23/2019 | Content area: Investment Adviser
Don’t just take the word of any applicant about the person’s disciplinary history. Investigate whether the person’s being honest about past troubles. ...
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...


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