Compliance Best Practices

This is a copy of an SEC document request letter following the announcement of the new “presence” exams. This letter comes out of the Atlanta ...

An adviser hired to manage an ERISA plan can be expected to meet with plan participants individually to discuss their 401(k) options. Does it matter ...

That new SEC and Department of Justice130-page compendium on the Foreign Corrupt Practices Act may leave you wanting when it comes to compliance guidance. But ...

If variety is the spice of life, then you can wear a gourmet's hat when it comes to cooking up your annual review (IA Watch, ...

Carlo di Florio, the director of the SEC's Office of Compliance Inspections and Examinations, recently was asked what advice he had for new chief compliance ...

In one recent instance, a hacker posed as a client and persuaded an investment advisory firm to send three wires totaling $290,000 to an account ...

Compliance officers should be diligent in continuously searching for new conflicts of interest within their firm and addressing them. And firms should give compliance staff ...

The huge storm that ravaged the Northeast last month also tore at the pages of even the most thoroughly tested business continuity plan.Round table Service ...

Christopher Columbus couldn't have asked for a map to the New World. Similarly, James Cullen found no guide when he set out to develop policies ...

With continuing talk about CCO liability as supervisors (IA Watch, Oct. 29, 2012), it seemed appropriate to follow-up on a civil fraud case that named ...