Compliance Best Practices

Lessons from a real-world cyber event, plus guidance to help protect your firm

It would be ideal if chosen testimonials “somehow provide transparency to the investment process”

This is an example of a peer's annual certification form for staff to attest to having read the firm's code of ethics

This document comes courtesy of National Compliance Services in Delray Beach, Fla. (http://www.ncsonline.com).

The Division encourages broker-dealers to review their practices, policies, and procedures with respect to Regulation Best Interest in order to address the issues raised in ...

Follow this strategy and a firm “would know immediately that transfers among these different accounts don’t make sense"

Noisy investors can bring unwelcome regulatory attention.

Six tips for staying ahead of the cyber-baddies

That new SEC FAQ tied to the IA advertising rule certainly has thrown the industry for a loop

“I’m concerned about what other interpretations are coming” from the SEC on the new ad rule, he continues. “The marketing rule has a lot of ...