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Compliance Best Practices

Many firms directly debit their fees and no longer send invoices to clients. However, there can be advantages to dispatching invoices."It's a good idea to ...
The SEC doesn't tell you how you must analyze your firm's risks, but examiners surely would notice if you don't do the job at all ...
They may go by several names, and even have various definitions, but the fundamental component of a wrap fee program is that your client pays ...
You've probably run into this a few times in your day. Marketers who insist they've created a pitchbook for a one person only so, of ...
There may be a slight trend of moving away from the use of soft dollars, but no one envisions the practice disappearing like the horse ...
Click here to open a Word document. This is an example of a conflicts questionnaire. It comes from a peer. The firm would have staff ...
One test to help you assess whether clients are being treated fairly is to examine performance dispersion. Run a report on performance of all client ...
It's a title you're seeing more often: chief risk officer. That's embossed on Fred Shane's business cards. He was the first person ever to carry ...
More than a decade after the effective date of the compliance program rule should be enough time for an adviser to know how to run ...
You may be pressured by colleagues to rush through your review of a vendor contract but there's a very good reason you should take your ...
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