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Compliance Best Practices (960)
Your search for Compliance Best Practices returned 960 results.
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3/21/2019 | Content area: Investment Adviser
It’s hard to get a handle on how many advisers receive 12b-1 fees for placing clients in certain mutual fund share classes. Look to Form ADV data and ...
3/21/2019 | Content area: Investment Adviser
It can be difficult to determine when an aging client is slipping into dementia and advisers can feel pressured that unnecessarily raising an alarm co...
3/21/2019 | Content area: Investment Adviser
You may wish to consider live or videotaped training around the SEC’s pay-to-play rule.   Generation Investment Management ($8.4B in AUM) in San Franc...
3/19/2019 | Content area: Investment Adviser
A peer shares the advisory firm's soft dollars checklist.
3/18/2019 | Content area: Investment Adviser
IA Watch's latest video runs 1:48 and is designed to acquaint the new CCO at an advisory firm with fundamental compliance topics to be aware of.  
3/14/2019 | Content area: Investment Adviser
OCIE chalked up more than 2,000 IA exams in FY 2018, visiting 17% of all firms. These numbers may be out of reach in FY 2019 (IA Watch, Jan. 10, 2019)...
3/08/2019 | Content area: Investment Adviser
The SEC exam did not go well. For some reason, examiners honed in on the small adviser relying entirely upon its clearing broker for best execution. B...
2/28/2019 | Content area: Private Fund
How you set up your investors’ coinvestment opportunities are up to you but, as so often happens under the Advisers Act, be sure you do what you pledg...
2/28/2019 | Content area: Private Fund
It’s likely the duty within a private fund advisory firm to allocate expenses falls to accounting or finance. But this doesn’t mean compliance officer...
2/21/2019 | Content area: Private Fund
One takeaway from those 13 advisers that settled with the SEC for failing for years to file Form PFs is to be careful in choosing your compliance cons...
2/14/2019 | Content area: Investment Adviser
Maryland-based adviser Dawn Bennett once paid $1.4 million for a luxury suite at AT&T Stadium, a perch from which she watched the Dallas Cowboys play....
2/14/2019 | Content area: Investment Adviser
Call it love late in life. She was in her 60s when she met a man in his 70s. It would become the second marriage for both. They lived together for 15 ...
2/14/2019 | Content area: Investment Adviser
Your aged clients make tempting targets for fraudsters because they’re believed to have money and could be manipulated into giving it away (see relate...
2/07/2019 | Content area: Investment Adviser
There were so many opportunities to spot early on the 12-year-long fraud perpetrated by John Rogicki, the former CCO and longtime employee at the now-...
2/07/2019 | Content area: Investment Adviser
Readers like lists – such as seven attributes of an effective CCO: 1. Regulatory knowledge; 2. Firm knowledge; 3. Industry experience; 4. Analytical i...
2/07/2019 | Content area: Investment Adviser
In an effort to rebuild trust after a considerably rocky regulatory road, Wells Fargo has released a business standards report that lists lessons lear...
1/31/2019 | Content area: Investment Adviser
Undoubtedly, having a process for your annual review relieves you of worry and sets the tone for accomplishing this critical task (IA Watch, Jan. 14, ...
1/24/2019 | Content area: Investment Adviser
To reconcile means “to check against another for accuracy.”   Reconciliation is “a very important function” for the CCO, says Kurt Nuñez, a consultant...
1/24/2019 | Content area: Private Fund
Look at it as a friendly divorce that welcomes into the marriage a new spouse.   Most limited partnership agreements offered by private equity fund ad...
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...


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