Compliance Best Practices

Click here to open up a Word document that serves as an example of how to comply with the Department of Labor's rule 408(2)(b) disclosure ...

Like other advisers, employees at Sterling Financial Planning ($289M in AUM) in Sparta, N.J. are permitted to create LinkedIn pages "but they're very, very skimpy ...

Former officials of pension giant CalPERS face fraud charges related to swindling an RIA out of $20 million in placement agent fees, a scam that ...

Nothing beats a compliance test that "involves a field trip," which is why David Hunt, deputy CCO at NFJ Investment Group ($35B in AUM) in ...

Perhaps you've heard it, too: SEC examiners are focusing on firm due diligence, both in the oversight of service providers and with investment decision-making.Indeed, in ...

Click here to open an Excel file that comes courtesy of Vista 360, a Milwaukee-based consulting firm. This is a matrix formed around a typical ...

Like a rose poking through the springtime soil, hundreds of newly emerged RIAs have blossomed this month thanks to Dodd-Frank requirements directed at private fund ...

It seems almost boiler plate but it's a strategy worth a slot in your arsenal: add an attestation to your firm's annual certification that has ...

If you advise an ERISA plan, mark July on your calendar because that's the deadline for you to share additional disclosure about fees and compensation ...

The first e-mail appeared innocuous enough. It simply asked the rep for the current balance in the client's account. After the rep replied, in came ...