Compliance Best Practices

FinCEN and OFAC propose this rule suggesting compliance requirements tied to the recent GENIUS Act's approval of Stablecoins. You have until June 9 to comment

Understand what your controls are before permitting any PII to be used in an AI program. You could lose control of these sensitive records

These four factors can persuade Enforcement to give you credit, which could help swing an inquiry in your favor

Rob Tull, the managing director of Effective Compliance in Tucson, Ariz., gives RCW permission to share with you his checklist for developing an AI ...

The long-awaited proposal would create a new 'safe harbor' that fiduciaries could follow to reduce their legal risks

Examiners displayed their interest in how the adviser was approaching compliance with revised Regulation S-P

Here's an example of a P&P an adviser could use to enforce its code of conduct

Don't miss what your fellow subscribers regarded as our most popular content in March

Download the latest quarterly compliance calendar from Regulatory Compliance Watch

Prepare for your next SEC exam by examining what DOE is asking other advisers