Compliance Best Practices

The CEO gathered his team in a conference room. Special guests sat among the invitees: consultants with surprising news. Pretend an emergency has hit that ...

If you've ever questioned the wisdom of e-mail monitoring, consider this story. A CCO searches for the word "offer" and discovers an exchange in which ...

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. ...