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Compliance Best Practices

Originally, the SEC slated Form CRS filings to begin in May
Hackers could do more damage than that should confidential information be shared between an adviser and its client via Zoom
“Designate a ‘point person’” among board directors who would be the firm’s liaison with the valuation committee
His computer screen turned red and a message flashed that his data were being held for ransom
Mario Hernandez, CFP®, director of operations at Gemmer Asset Management in Walnut Creek, Calif., shares his firm's cyber P&P related to employee security roles. ...
Unless you happened to be alive in 1918, during the last great global pandemic, all of this is new
Gain tips to help you polish off your new form
Teri McCasland, VP/CCO of SFE Investment Counsel in Los Angeles, shares her draft of her Form CRS
You may not include disclosure in the relationship summary other than disclosure that is required
The SEC has been reaching out to firms to talk about COVID-19
A process for checking billing during your annual review
Look out for traps in nursing home contracts
Industry comments signal an organized campaign to deluge the SEC and steer the regulator away from going through with proscribed compliance due diligence steps
ESG is hotter than ever, and regulators have noticed the trend
Use this form to investigate new investment products
The client “hit rock bottom” after being told of Boggs’ alleged fraud
“Just start drafting. Start typing. The longer you wait to start the drafting process, the more challenging it’s going to be”
A transition plan can run as short as 2-3 pages
These steps will allow you to go to the questionable website without putting the potentially malicious site in your browser history
Compliance officers have developed various methods to monitor staff to ensure they’re not tempted to trade on material, non-public information learned in meetings

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