Compliance Best Practices

This Risk Alert summarizes deficiencies that OCIE staff observed in the controls that certain broker-dealers put in place to comply with obligations related to sales ...

The client was sharp enough to warn his adviser that his e-mail had been hacked “and to be on the lookout” for a fraudulent request ...

The trial run mimics a real exam, with the goal of fixing issues before the real examiners come in

Manually or electronically. Restricted lists or no-holes barred. Pre-clearance or trading freedom. Firm choice and its business often define how your peers set up their ...

Your obligation to seek best execution leaves it up to you to decide how to achieve it. There are suggested best practices (IA Watch, Aug. ...

Because conflicts can rear their ugly heads in the industry, it's incumbent upon firms to be aware of outside business activity by staff. Your approach ...

Three in four respondents to a new survey clicked off that cybersecurity's one hot topic. "That's probably the highest percentage we've ever had for a ...

One lesson shines brightly from advisers who encountered incidents prompting implementation of their business continuity plan: dump the phone tree.It's common for advisers to have ...

Earlier this year, we reported OCIE's sweep of alternative mutual fund advisers (IA Watch, April 28, 2014). Now, SEC Director of Investment Management Norm Champ ...

If your firm hands the responsibility of conducting internal compliance investigations to a general counsel or other in-house lawyer, you may well have grounds to ...