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Compliance Best Practices

Congress is weighing legislation that would require investment advisers and other “gatekeepers” to develop and maintain anti-money laundering policies and procedures. If passed, the ENABLERS ...
The COVID-19 crisis drove up the cost of compliance by nearly $50 billion in the U.S. and Canada, a new report finds. LexisNexis Risk Solutions ...
Here’s the scenario: A SEC exam heads toward enforcement. Would a CCO raise her liability risks by signing the firm’s response to a deficiency letter?
A peer shares the firm's policies and procedures for overseeing its subadvisers
A peer shares a great best ex tool
As with any compliance issue, your work begins with a risk assessment. You may determine your risks are so small as to justify only a modest ...
Know that some vendor contracts may limit their liability in a cyber breach to the fees they charge you. If that’s the case, you may ...
This tool can help you test compliance with cross trade rules
Grewal calls out need for "more than putting together a stock policy and giving a check-the-box training"
Examiners may want to see additional procedures to be comfortable that the firm could adequately conduct its reviews given this situation

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