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Compliance Best Practices

Couple closing real estate contract with real estate agent
Dual-hatted CCOs—often holding additional titles like president, CEO or principal—number about 20% of the population
Washington, D.C., USA- January 12, 2020: Entrance to the U.S. Commodity Futures Trading Commission (CFTC) on their headquarters building in Washington; CFTC is an agency of the US government.
It’s not often a regulator’s enforcement staff gets taken to the proverbial woodshed by a federal judge but that’s what’s happened in an embarrassing case ...
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Survey our top new stories from the second full month of spring
Business people talking in office
Among other things, this exam letter asked for a list of employees by office locations, as well as an org chart revealing 'all entities that ...
"Group of college students in the university amphitheatre, they are sitting and doing an exam."
Draw conclusions from a batch of new SEC examination document request letters obtained by RCW—each dated after the second Trump Administration took office
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It’s a sad reality that live shooter exercises might need to become part of your firm’s business continuity planning and training
Woman inserting Bitcoin in gold piggy bank
"The Custodian simply is acting as an agent in connection with staking the deposited Covered Crypto Assets on behalf of the owner"
Young fit woman tying her shoelaces at gym
As the deadline inches nearer to comply with the SEC’s revisions to Regulation S-P, look for the Commission’s Exams Division to help you get ready
Wealthy passengers using private luxury jet to travel to destination
For years, some on the SEC Commission have called for opening up private fund investing to non-accredited investors. With a new administration in office, the ...
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