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Compliance Best Practices
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 ...
In the words of Jeffrey Squires, the SEC has been purposefully obscure in defining what an adviser's responsibilities are when it comes to monitoring staff ...
As the SEC prepares this week to hold its upcoming cybersecurity roundtable, now's a good time to pass along tips to keep your firm away ...
The year's underway and the work's pouring in. What's your secret to getting it all done?For many of your peers the solution comes down to ...
The way mutual funds are sold has changed greatly since the SEC issued its fund supermarket "no-action letter" in 1998. Then OCIE promised to "closely ...
We asked your peers for compliance tests they'll be conducting this year. Their plans include:1. Staying within clients' investment parameters. Wasmer Schroeder & Company ($4.5B ...
Whether you've never been examined by the SEC or it's old hat to you, here are some pointers that could positively influence the final results ...
While you may be so close to your compliance policies and procedures you could recite lines from memory, remember that your colleagues may only be ...