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Compliance Budget (21)
Your search for Compliance Budget returned 21 results.
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1/24/2019 | Content area: Investment Adviser
First, thanks to those of you who recently took our online subscriber survey. Here are some of the results.   Fully half of respondents stated their c...
11/15/2018 | Content area: Investment Adviser
The life of Pennant Management, a Wisconsin advisory firm, would run 20 years. It may have continued if only its leader listened to its CCO, who warne...
4/05/2018 | Content area: Investment Adviser
Attendees at IA Watch’s recent compliance conference in Washington, D.C., were asked how their compliance budgets are changing. Although not a scienti...
8/03/2017 | Content area: Broker-Dealer
Consolidation is the hallmark of two recent actions taken by FINRA. The first will ease reporting burdens and compliance costs for broker-dealers, whi...
7/20/2017 | Content area: Investment Adviser
You can assume Andrea Sayago’s busier than the average CCO – given that she’s the named CCO for 11 RIAs.   Like Sayago, Cheryl Vohland’s name comes up...
4/07/2017 | Content area: Investment Adviser
The results are in for IA Watch’s latest flash survey of subscribers. We took at peek at longevity on the job and found that most of you stay with you...
3/16/2017 | Content area: Investment Adviser
Many investment advisers have a critical need to catch up rather than get ahead when it comes to cybersecurity, a recent industry study reveals. The 2...
9/29/2016 | Content area: Investment Adviser
An under-resourced compliance department and inadequate P&Ps tied to cross and principal trading have led to a $250,000 SEC civil money penalty agains...
7/07/2016 | Content area: Investment Adviser
For a third consecutive year, cybersecurity remains the hottest compliance topic among investment advisers. Nearly 9 out of 10 IAs regard the safeguar...
12/01/2015 | Content area: Investment Adviser
Coming up with a workable industry benchmark for a compliance budget – given the variety of business models and firm sizes – can be harder than findin...
8/18/2015 | Content area: Broker-Dealer
Could you pinpoint the dollar amount your firm currently expends on compliance? If not, you’re not alone. The second annual C-Suite Survey of financia...
3/31/2014 | Content area: Investment Adviser
More than half of the compliance professionals answering a new survey expect their personal liability to increase this year. The Cost of Compliance 20...
11/04/2013 | Content area: Private Fund
Your views will be confirmed in the new study of The Cost of Compliance, which finds, as expected, that more regulations gin up the costs and especial...
7/01/2013 | Content area: Investment Adviser
The old world may be ahead of the new one in sending out tweets. A new survey of compliance officers finds that CCOs in the U.K. have fewer qualms abo...
7/23/2012 | Content area: Investment Adviser
It may be national ice cream month but last week appeared to be all about RIA surveys. We'll begin with ours, which was produced with Financial Tracki...
11/28/2011 | Content area: Investment Adviser
As the shockwaves from Dodd-Frank regulatory reforms settle, the reality steadies into increased compliance responsibilities that tax many firms yet a...
3/08/2010 | Content area: Investment Adviser
Most of your peers spend the bulk of their time monitoring for exceptions to compliance, believe their program makes their firms more competitive and ...
9/14/2009 | Content area: Investment Adviser
Increase the chances of persuading your superiors to support your compliance initiatives by indicating how they would "lead to a quantifiable return o...
5/25/2009 | Content area: Investment Adviser
When it all shakes out, FINRA will likely be given the authority to examine RIAs, the SEC will oversee the SRO's work, and the addition of rules-based...
1/01/2007 | Content area: Investment Adviser


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