Marilyn Cohen has over 35 years of investment management experience. See her complete background at ...
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"Anyone that has shown symptoms must get tested"
Steven Wolken, CCO at Hartland & Company in Cleveland shares his compliance checklist for when an adviser acquires another advisory firm
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
A peer shares the form the firm uses to document with the client investment objectives
A peer shares the questions the compliance staff asks employees to discover potential new conflicts
This is an example of a trade ticket submitted by a peer
Ben Anderson, principal with Anderson PLC in Minneapolis, shares actions he believes CCOs can take to reduce their risk of being charged in an SEC ...