Compliance Best Practices

All of that attention in recent years from OCIE on the issue of distribution-in-guise payments by mutual funds has resulted in new guidance from the ...

There’s a lot that’s new in FINRA’s 2016 exam priorities letter. Data quality, internal audit and client on-boarding are “in” compared with the 2015 letter ...

Jeff Suhanic, CCO of PNC Investments, has some big goals in mind for 2016. They include nurturing a customer-oriented system of resolving complaints, and improving ...

As you might expect cybersecurity occupies a top spot on the priority list for many of your compliance peers in 2016.   Dividend Assets Capital ...

Lessons aplenty can be found in the new SEC settlement with Morgan Stanley Investment Management ($257B in AUM) over the illegal “parking” of some trades ...

Getting a handle on the stream of share classes offered by mutual funds and their attendant fees can seem formidable. Yet recent share class allocation ...

A need exists to develop “criteria and thresholds” that could trigger joint action by the financial services industry and the government in the event of ...

This chart shows how to present past-specific recommendations in line with the SEC's TCW no-action letter.

Recent enforcement actions demonstrate that best execution hasn’t slipped from regulators’ list of inquiring topics.   An examination by IA Watch of several best execution ...

A peer, Mario Hernandez, CFP®, director of operations Gemmer Asset Management ($568M in AUM) in Walnut Creek, Calif., shares an Excel file that displays his ...