Compliance Best Practices

Nearly 63% of private fund managers said they billed fund regulatory expenses, such as Reg D filings, to the funds they advised. More than 21% ...

Word on the street reveals SEC examiners are slowly returning to on-site exams, although many remain virtual. Their interest in adviser marketing has only heated ...

You don’t need to be a psychic to predict enforcement troubles would follow

Reps have long sought to take their clients with them to greener pastures. Now this trend is heating up thanks to an infusion of green ...

The Commission wants the party to 'feel the financial penalty of the resolution'

This P&P comes courtesy of Debra Konieczny, IACCP, CSCP, CCO at Capital Advisors in Tulsa, Okla.

Here's an example of a compliance P&P that outlines what must be reported to the firm under its code of ethics

It’s coming soon. The deadline later this summer for advisers that must report 13F securities to reveal their proxy votes on the so-called say-on-pay issue

Here's what your peers clicked on most last month on RCW

Download the latest quarterly compliance calendar from Regulatory Compliance Watch