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Compliance Best Practices

The COVID-19 crisis has turned the world upside down, but private fund advisers still must be extra vigilant about how new and different situations effect ...
A peer shares the firm's branch office checklist and audit report template
There’s an expectation among regulators that you should know the signs of dementia in your clients
The SEC’s recent private funds risk alert points to structural problems in the industry—problems that the Commission itself is in a unique position to help ...
The compliance burden of the newly relaxed Volcker Rule will fall heaviest on banks but no one on either side of the reopened ledgers will ...
Here’s a primer on the other basics you must know
To all outward appearances, Richard Diver stood as a pillar of rectitude. The co-founder of Manhattan-based M&R Capital Management ($487M in AUM), Diver, 63, ran ...
Public company quotes “aren’t a great comp” because “the chaos that the pandemic has caused” means their valuations aren’t connected to the company’s fundamentals either
The sample document request is intended to help empower compliance professionals in the industry with questions and tools they may use
Spending on projects that are not directly related to compliance with the new rules may be worth putting off
A peer shares the firm's checklist for branch office inspections
Best ex has sat atop the agency’s list of issues for a long time
FINRA would like to see firms consider the practices identified
348 keywords and phrases to consider using
FINRA’s overarching take is that broker-dealers must supervise reps’ live meetings with customers via video “in a manner reasonably designed to achieve compliance with applicable ...
Test the firm after you’ve hired it. Review a sample of its work to judge that it makes the grade
“We’re encouraging our compliance officers to have standing office hours on Zoom"
Be sure to change keywords based on events
“It was very difficult” to condense it down to two pages
Some firms have already published their Form CRS. Here are some examples
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