Compliance Best Practices

A new survey finds that more than one in three industry professionals who earn half a million dollars or more annually have witnessed or have ...

Click here to open a Word file that a peer assembled based on the SEC's document request letter received by the firm in a 2014-2015 ...

While you’re likely to breathe a sigh of relief once SEC examiners have closed your exam – especially if the outcome were successful – take ...

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 ...