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Compliance Best Practices (941)
Your search for Compliance Best Practices returned 941 results.
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1/17/2019 | Content area: Investment Adviser
There’s RAUM and AUM and now, at the risk of drowning in acronym soup, AUA. They all add up to ways to measure the size of your advisory business.   S...
1/14/2019 | Content area: Investment Adviser
Managing Director Rob Tull of Progressive Compliance Advisors shares his process for conducting an annual review. Tull has honed his process over the...
1/10/2019 | Content area: Investment Adviser
The New Year starts with advisers facing OCIE exams left wondering what they should do. And they’re not alone.   Marlon Paz used to work at the SEC. H...
1/10/2019 | Content area: Investment Adviser
Chances are John Maccoll and Steven Pagartanis have never met. But they share much in common. Both are fired broker-dealer reps who for years ran scam...
1/04/2019 | Content area: Investment Adviser
Click here to open an Excel file that is described as OCIE's latest request for how examined firms should construct their trade blotters. This comes c...
1/02/2019 | Content area: Investment Adviser
The New Year opens like a new book, awaiting only for you to write your story. Gain some ideas for tasks to tackle in 2019 by seeing what your complia...
1/02/2019 | Content area: Investment Adviser
We’ve shared predictions for the regulatory year ahead (see related story). Now check out the regulatory calendar for 2019. These items becom...
12/14/2018 | Content area: Investment Adviser
In recognition that the way the world communicates has changed, OCIE has released its 5th risk alert of the year. It features observations examiners c...
12/13/2018 | Content area: Investment Adviser
They put a lot of thought into their dastardly plan – and these cyber criminals knew they had to act quickly.   IA Watch agreed not to identify the CC...
12/13/2018 | Content area: CPO/CTA
If your CPO firm is dually-registered with the CFTC and the SEC, the new “guidance” from the National Futures Association will seem like old hat.   In...
12/06/2018 | Content area: Investment Adviser
Deborah Lamb sat parked in her car, waiting her turn in line at a drive-through coffee kiosk when it struck. “I thought my car was going to explode,” ...
12/06/2018 | Content area: Investment Adviser
The view of one CCO about the effectiveness of e-mail reviews isn’t an outlier.   “My personal opinion is that routine e-mail reviews are not worth do...
12/06/2018 | Content area: Investment Adviser
It sounds like an exterminator’s dream. A “bug bounty.” But it’s really a way to discover flaws in your software before a cyber bad guy finds them and...
12/06/2018 | Content area: Investment Adviser
You’re going to love our latest innovation at www.regcompliancewatch.com: the ability to save your searches as a Compliance Alert.   This means anytim...
11/29/2018 | Content area: Investment Adviser
Make a note to review the accounts of senior clients every six to 12 months “to see what’s been happening,” recommended Ronald Long, the director of e...
11/29/2018 | Content area: Broker-Dealer
Allowing customers to work with third-party investment advisers can make sense under the right circumstances. The practice can be a kind of customer s...
11/21/2018 | Content area: Investment Adviser
It wasn’t the first time the client had asked that his adviser transfer a couple hundred thousand dollars from his account to a third party. All seeme...
11/21/2018 | Content area: Investment Adviser
As OCIE demonstrated recently with its cash solicitation risk alert (IA Watch, Oct. 31, 2018), advisers often fail to show they’ve done due diligence ...
11/14/2018 | Content area: Investment Adviser
SIFMA has produced an example of a form you can give clients to obtain a trusted contact to reach out to in case the need arises. Find more from SIFM...
11/12/2018 | Content area: Investment Adviser
If you’re an adviser to a mutual fund, then OCIE’s 4th risk alert of 2018 is for you.   The four-page alert, released Nov. 8, lays out what topics exa...


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