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Compliance Best Practices

Limit video calls with examiners to 45-60 minutes because “people get tired” during these calls
A checklist to use when opening a new account
This sample form, from a peer, serves to give a firm permission to conduct a background check on an employee
RCW contacted numerous CCOs, asking if they feel appreciated or could recall one time when they were seen in a heroic light within their firm. Most ...
“Assume that you made a mistake or someone else will make a mistake and have layers of defense,” asserts Ingalsbe
Two specific disclosures about the use of automated voting are encouraged in the new guidance
A compliance program that looks adequate to enforcement staff can result in lower civil money penalties after an enforcement action
“Data classification is right there in the beginning with risk analysis” when starting to confront cyber threats
The SEC "will be hosting a roundtable this fall to share additional thoughts following completion of its review of the initial filings and will continue ...
The GLBA shield offers advisers that fall under the CCPA no protection regarding data breaches, though. Penalties can sting
New, accredited investor definition triggers issues Private funds should take a new look at their subscription agreements after the SEC’s decision to widen the definition ...
This is a cybersecurity checklist shared with permission of ISO Services
Larger firms should find this checklist beneficial as well
Examiners wanted to see some review of an IA account after 12 months of inactivity
Any CCO should sit in on employee video calls with the SEC, just as a compliance officer—or other firm examination liaison—should be in the room ...
A relationship with a compliance consultant paves a two-way street. Be sure to give any consultant you hire full information
RCW doesn’t endorse any of these firms and they didn’t pay to be on our list
The book’s sample fiduciary code of ethics is built around seven provisions
Never use the same password for multiple sites when twinned with your e-mail address as a login “because the bad guys will just take your ...
By the time you finish reading this story, three more of your fellow humans will have developed Alzheimer’s disease. More than 50 million people around ...

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