Compliance Best Practices

This is a questionnaire, shared with permission of Furnari Scher in New York, to help business partners develop their relationship prior to entering into a ...

That new OCIE exam alert on custody didn't surprise Steven Felsenthal, general counsel/CCO at MillburnRidgefield Corporation ($533M in AUM) in New York. "The custody rule ...

In 20 short months, Jon Corzine took MF Global from a going concern to bankruptcy. A new report sketches a portrait of a CEO obsessed ...

A commission that on its face might look relatively high could be allowable in FINRA's eyes if it's for a complicated transaction and you documented ...

Shrunken government coffers provide reason enough for state officials to question the status of an individual's classification as an independent contractor. If it's determined that ...

Because most firms have until April 1 this year to file their annual Form ADV update (IA Watch, Jan. 21, 2013), let's share common mistakes ...

A peer shares the authorization form the firm uses to get permission from a client to publish her name.

Click here to open a Word file that is an example of a client authorization form to be included in firm newsletters and its website. ...

This is guidance released March 15, 2013 by the SEC regarding social media records held by mutual fund advisers.

When does a head trader turn into the belle of the ball? When he's new.The line of brokers coming to see the new head trader ...