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Compliance Best Practices

You can compare the new exam request letter with one RCW shared two years ago to see DOE’s evolution regarding ESG. If your firm engages ...
Ben Anderson, principal with Anderson PLC in Minneapolis, provides this checklist for advisers entering into contracts with vendors
It sounds like an exterminator’s dream. A 'bug bounty.' But it’s really a way to discover flaws in your software before a cyber bad guy ...
One lesson from a recent DOE exam was to disclose the receipt of a PPP loan. On more than one occasion, SEC staff have indicated ...
Given that ESG is hotter than a steel furnace, it’s smart to keep your cool with compliance. Here are nine best practices to guide you ...
Start small by setting out four quarters and pick easy tests like sampling of fees
Former CCO Meredith Simmons shares her lessons learned following an SEC enforcement action
The SEC has long asked advisers for documents related to their clients. Now there’s evidence you may be asked to hand over to examiners materials ...
“I would strongly recommend never finding yourself in a position where you’re alone with the exam staff." She wished she would have asked the firm’s ...
RCW has obtained a copy of a recent FINRA document request letter for an exam that focused largely on Regulation Best Interest
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