Compliance Best Practices

'Broken windows' gets industry workout

Some have told us the interactive tool vendors have been accommodating, even knowing about the new SEC ad rule and willing to hand out disclosures ...

Mario Hernandez, CFP®, director of operations at Gemmer Asset Management in Walnut Creek, Calif., shares his firm's cyber P&P related to employee security roles. ...

It may well be wise for advisers – especially smaller firms – to collapse their cybersecurity P&Ps into a broader policy

'Compliance, really, is a risk mitigation strategy.'

A clear message being conveyed by the alert is that advisers better be able to 'substantiate material statements' in their ads

The checklist also could be used as a foundation for reviewing advertising pieces and completed copies could make for potential documentation to show future SEC ...

Eversheds-Sutherland gives RCW permission to share with you its checklist to aid compliance with the SEC's new IA ad rule

A CCO at an ESG firm has an obligation to become educated on the topic

The CCO also can lay down the foundation by creating P&Ps that correspond to how fund documents address expense allocation