Home Compliance Best Practices

Compliance Best Practices

Nearly all advisers don’t place a limit on the number of personal trades staff can make annually. The typical holding period – for firms that ...
The books and records rule does require a slew of items to be maintained – and shared with inquiring examiners – from “all written communications” ...
Many eyes are watching to see how the SEC vs. The Robare Group ($150M in AUM) case plays out. Allegations of inadequate disclosures around conflicts ...
It’s right there in black and white in current SEC exam document request letters. Before arriving on-site at an advisory firm, Commission examiners are seeking ...
Training is a critical component of any cybersecurity program. FINRA drives this home in its new Report on Cybersecurity Practices. Regulators are backing up this ...
Among the plethora of tools mentioned at IA Watch’s IA Compliance: The Full 360° View conference in Washington, D.C. last month, was a memo provided ...
The word-search lexicon at Garden State Securities in Red Bank, N.J., includes “disappointed,” “complaint,” and “regulator” – as well as “off the record” and “talk ...
This guidance from the Division of Investment Management encourages fund compliance personnel to maintain P&Ps about gifts and entertainment. The Investment company Act addresses the ...
Like many firms, the adviser used a VPN-like security system to permit staff to access its computer network remotely. “A lot of people complained about ...
This is a portion of a request letter sent by the SEC to a hedge fund of funds manager. This is another example of the ...
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination