Compliance Best Practices

The timing couldn’t be better for the Investment Company Institute’s new 24-page Report on Funds’ Use of Proxy Advisory Firms, given that OCIE just listed ...

Early in 2015, Garden State Securities ($135M in AUM) will uncork new risk-based supervisory policies and procedures, per new rules from FINRA that were effective ...

The to-do list at Plan Member Securities Corp. ($3B in AUM) in Carpinteria, Calif., includes beefing up the firm’s cybersecurity protocol. Daniel Murphy, VP/CCO at ...

Investors moving to put their money into companies that do good appears as hot as an Arizona solar panel in July. A new report on ...

Don’t even think about encrypting everything. That would be unfeasible. But you should know where your firm stores personally identifiable information (PII) – such as ...

An official of a sovereign wealth fund flies into town to check out your firm. If you treat the visitor to a nice dinner, must ...

The recent incident at a small advisory firm served as a wakeup call for the need to guard against cyber bad guys. A relatively new ...

The oldest baby-boomers are approaching 70 years old. The chances you’ll find yourself working with a customer with impaired cognitive functions grow greater every day. ...

An easy out for many compliance staff given the duty to train firm employees on gifts and entertainment rules is to adopt the lowest regulatory ...

The advent of high-frequency trading and the use of so-called dark pools has shifted the training dynamic. Now, the shrewd compliance officer gets trained on ...