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Compliance Best Practices (980)
Your search for Compliance Best Practices returned 980 results.
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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...
5/02/2019 | Content area: Investment Adviser
Richard Chen of Richard L. Chen PLLC in New York shares this checklist to help advisers when bringing on new clients.
5/01/2019 | Content area: Investment Adviser
This exam request letter went to an advisory firm in 2019.
4/30/2019 | Content area: Investment Adviser
This letter came from a 2019 OCIE exam of an IA.
4/29/2019 | Content area: Investment Adviser
Richard Chen of Richard L. Chen PLLC in New York shares a checklist to help advisers when it comes to billing and charging client fees.
4/26/2019 | Content area: Investment Adviser
Regulatory Compliance Watch makes available our 2019 Compliance Calendar to our members. Download it to your current calendar application. And it's ea...
4/25/2019 | Content area: Investment Adviser
Scenario: Say, you’re a compliance officer who serves as the adviser’s in-house counsel and you’ve been tasked with conducting an internal investigati...
4/25/2019 | Content area: Investment Adviser
The near record, rising stock market has pushed some advisers over the threshold to where they are required to file Form 13F. The SEC mandates that ce...
4/25/2019 | Content area: Investment Adviser
Wi-Fi can be so convenient – yet so risky.   OCIE’s new risk alert on Reg S-P warns of the use of “unsecure networks,” noting many firms don’t have co...
4/18/2019 | Content area: CPO/CTA
CPOs examined by NFA staff beginning this month can expect to be asked about what they’ve done to comply with the SRO’s new internal controls notice. ...
4/16/2019 | Content area: Investment Adviser | Broker-Dealer
Through sharing some of the Regulation S-P compliance issues it observed, OCIE encourages registrants to review their written policies and procedures,...
4/16/2019 | Content area: Investment Adviser
With cybersecurity as hot as a black hole, it’s no surprise that OCIE wants advisers to take a new look at their cybersecurity P&Ps as well as how the...
4/11/2019 | Content area: Investment Adviser
A glance at a recent OCIE document request letter leaves no doubt of examiners’ interest in advisory fees. This isn’t a state secret given the topic a...
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...
4/04/2019 | Content area: Private Fund
Match your skill set against the ideal qualities of an effective CCO. Begin with knowing the Advisers Act, being empowered to enforce your firm’s comp...
4/04/2019 | Content area: Investment Adviser
Click here to download the AITEC's partial DDQ. The AITEC partnered with the Alternative Investment Management Association (AIMA) to produce this cyb...


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