The next time you update your Form ADV, Part 1 on the IARD you can expect to find several additional questions related to custody. These ...
If you don't have an encryption tool already, start looking for one. A FINRA proposal is likely to be finalized soon that will require broker-dealers ...
The topic of due diligence pops up a lot in current SEC exams (IA Watch, Nov. 8, 2010), yet there is no industry standard on ...
Lloyd Karp won't be up for CCO of the year. Last week the former CCO and his firm, Buckingham Capital Management ($1.4B in AUM) in ...
One firm felt the heat over GIPS compliance. Another was scrutinized for its actions to prevent insider trading. A third found its most recent exam ...
Even though the political contribution provisions in the SEC's new pay-to-play rule don't take effect until next year, the complexity and ramifications of the new ...
SEC commissioners took a major step Friday toward satisfying recent congressional reforms by approving two proposed rules that would have far-reaching implications for RIAs as ...
A peer shares his firm's policy regarding employee use of the Internet.
A peer shares a copy of her firm's social media policy.
Here are some suggestions for how to review the trade blotter courtesy of Victoria Hogan of NorthPoint Compliance in Red Bank, N.J.