Compliance Best Practices

Try this idea: Periodically take a chapter from your compliance manual and visit the relevant area at your firm to test if its procedures remain ...

This is a job description for a compliance manager that comes from one of your peers.

This is an example of a deferred prosecution agreement entered into with the SEC.

This compliance policies and procedures manual comes courtesy of Albert Gutierrez, CCO at Atlas Capital Advisors in San Francisco, who refers you to his firm’s ...

One misstep with protected documents carries the risk of blowing away a claim of attorney-client privilege and revealing damaging documents you'd rather keep between you ...

You didn't need to read about the recent enforcement settlement against a Malaysian investment adviser for charging fees for services that weren't provided to know ...

Click here to open a Word file that is an affiliate trade form from one of your peers. This would be signed by the portfolio ...

This is a template for a supervision policy courtesy of Nancy Lininger of The Consortium in Camarillo, Calif. This can be helpful to firms after ...

Click here to open an Excel file that displays the SEC's preferred method for laying out a blotter. You'll find three types: 1. Equities 2. ...

Some firms make the mistake of cramming so much into their code of ethics that it can't realistically be policed - setting themselves up for ...