The foresight inherent in decreeing that investment advisers have written business continuity and transition plans could be seen as quickly as a look to the ...
The SEC has long trained its sights on wrap fee programs (IA Watch, Aug. 4, 2014). The latest example of its interest can be seen ...
Regulations as extensive and complex as the Department of Labor’s fiduciary duty rule are likely to have a few words out of place. Two new ...
If your firm receives revenue from the sale of mutual funds, be sure you have compliance P&Ps designed to avoid placing clients in a more ...
The latest congressional report by the SEC’s Office of the Investor Advocate states that in FY 2017, which begins in October, the office will look ...
The latest sign that regulators want you to do some due diligence on critical third-party vendors comes from the realization that lacking representations from them ...
For a third consecutive year, cybersecurity remains the hottest compliance topic among investment advisers. Nearly 9 out of 10 IAs regard the safeguarding of critical information ...
On the eve of the U.S.’s 4th of July, Britain’s independence day has staggered world markets like a stiff right cross. Speculation abounds about the ...
We’re left to wonder why WFG Advisors ($1.4B in AUM) in Dallas would pay a compliance consultant to come in twice, be warned that the ...
In an ideal world, compliance and accounting would be linked when it comes to paying solicitors like July and fireworks are intertwined. But perfection ...