Compliance Best Practices

Wednesday's the day you're to have a program in place to combat identity theft if you've determined your firm falls under the SEC's rules. Making ...

They cover the full range, from what is considered to be sensitive data to protective policies to actions should an identity theft be detected

The CCO sat in a recent job interview and was jolted by the hiring manager's question: "how do you influence compliance changes at your firm?"We ...

After literately decades on the job, the vendor hired to shred the firm's records starting slacking off. So David Campbell, general counsel of Silvercrest Asset ...

Click here to open a Word file that comes from a peer and is called a risk identification questionnaire. Use this tool to help discover ...

The SEC's latest message via best execution enforcement drills a dually-registered firm with fines and penalties in excess of $1 million for purchasing fund shares ...

Those recent FAQs from the SEC's Division of Trading and Markets (IA Watch, Oct. 7, 2013) help but if you're a CCO nervous about crossing ...

It's not uncommon for institutional investors to ask an adviser for copies of its last two annual reviews. "I'm more than happy to show it ...

Contemplate adding this strategy to your compliance quiver: when you find a violation of your firm's code of ethics, go back and check the employee's ...

It wasn't subtle the way the SEC earlier this month released news of 22 settlements and a risk alert around short selling and violating Reg ...