Compliance Best Practices

The story sounds all too familiar. An e-mail arrives that’s not what it appears to be.   “It looked legit, but it wasn’t legit,” recalls ...

OCIE staff will continue its focus on cybersecurity by conducting examinations of registered broker-dealers and investment advisers. The examinations will focus on key topics including ...

It’s common for private equity limited partnership agreements to contain the right for the adviser to set up coinvestment vehicles. The term can mean many ...

Sometimes, it seems, technology creates more problems than it solves. It’s relatively easy, for instance, to archive tens of millions of e-mails and other communications. ...

You often hear comparisons between exams conducted by OCIE and the National Futures Association and the same description keeps coming up: The NFA is much ...

FinCEN’s proposed AML rule for advisers appears in the Sept. 1 Federal Register, running 22 pages (IA Watch, Aug. 27, 2015). You now have until ...

Do you have someone from compliance at the branch office when FINRA is examining it?  If not, you may want to rethink your current practice. ...

As FINRA scrutinizes how firms are handling conflicts, and the SRO has made addressing them an explicit part of the supervisory mandate in rule 3110, ...

Some private equity advisers offer only one fund. But for those with a more expansive business model, the issue of how to allocate investments among ...

Here are tips shared by senior compliance professionals who participated in the recent joint SEC–FINRA B-D compliance outreach program. Branch exams Bank of America-Merrill Lynch ...