Compliance Best Practices

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 ...

Efficiencies and cost savings lure some investment advisers to use cloud technology. Others remain skittish, perhaps with the recent words of Defense Secretary Leon Panetta ...

Two years after the SEC's pay-to-play rule for advisers went into effect firms continue to struggle with how to implement a sound compliance program to ...

Who wouldn't welcome more clients? That never-ending pursuit has grown more challenging in recent years.Investors are "going from kicking the tires to lifting up the ...

Click here to open an Excel file that is an example of both a risk matrix and a compliance calendar provided by one of your ...

Do you have an adequate supervisory system to detect for churning? A lot of firms don't, says Unbo (Bob) Chung, who is senior compliance counsel ...

The SEC ALJ came down hard on a firm, its principal and its attorney, with penalties topping $350,000 and an industry bar. She permanently barred ...

A common best practice expressed to advisers is to create a compliance calendar. When Cathy Simmons became CCO at Legacy Wealth Management ($865M in AUM) ...

In speeches and a sweep letter, the SEC demonstrates it is moving determinedly toward eyeing private equity fund advisers for signs that clients are being ...