Compliance Best Practices

This is the form the CFTC devised to satisfy its 2012 rule for pool quarterly reporting by commodity pool operators. It's technically called CFTC Form ...

This is a sample disclosure guide presented by the Department of Labor in 2012 along with its final rule governing its reasonable contract or arrangement ...

If you count your firm among the estimated 3,200 RIAs that must shimmy over to state registration by July, you're advised to find out what ...

Book some time to go through the new Form ADV, Part 1 of TPG Global Advisors ($54B in AUM), the newly registered private equity adviser ...

Click here to download an Excel file that contains a spreadsheet with formulated columns to help you determine your answers for the two charts under ...

It's completely voluntary for a sponsor of a 401(k) plan to use the Department of Labor's auto-enrollment mechanism. The government dangles some carrots to incentivize ...

In recognizing that the use of social media by investment advisers is "rapidly accelerating," the SEC last week timed the announcement of an enforcement action ...

Not long after the last champagne cork has been popped and the final party favor put away comes the reality of a new year and ...

IA Watch makes available our 2012 Compliance Calendar to our subscribers. Download it to your current calendar application. And it's easy to do, simply follow ...

Last October, OCIE Director Carlo di Floriospoke of the importance of a culture of ethics (IA Watch, Oct. 24, 2011). While the concept may seem ...