Home Compliance Best Practices

Compliance Best Practices

Lock as symbol for privacy and general data protection.
Lessons from a real-world cyber event, plus guidance to help protect your firm
Pen and yellow sticky notes written with Clients Testimonial on wooden background.
It would be ideal if chosen testimonials “somehow provide transparency to the investment process”
Swear to say truth. Studio shot of sincere happy young brunette woman, raising palm and holding hand on chest, promising to me honest, standing over gray background. Emotions concept
This is an example of a peer's annual certification form for staff to attest to having read the firm's code of ethics
Close-up Of Hand With Red Pen Marking A Check Box
This document comes courtesy of National Compliance Services in Delray Beach, Fla. (http://www.ncsonline.com).
Happy financial advisor shaking hands with a couple after successful meeting in the office.
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
Business marketing solution jigsaw puzzle
That new SEC FAQ tied to the IA advertising rule certainly has thrown the industry for a loop
Depressed frustrated trader tired of overwork or stressed by bankruptcy, sad shocked investor desperate about financial crisis or money loss, upset businessman having headache massaging nose bridge
“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 ...

Copyright PEI Media

Not for publication, email or dissemination