Compliance Best Practices

This is a cybersecurity planning guide from the Federal Communications Commission.

Three questions under Item 5 of Form ADV, Part 1 can cause you pause. Item 5.C. and Item 5.D. ask about your clients (numbers and ...

With the SEC's and FINRA's cybersecurity sweep exams in full swing, consider inventorying your firm's "information" to classify which data you regard as sensitive and ...

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 ...