Compliance Best Practices

With a myriad of platforms available to execute trades and clients dispersed across many of them, it can be a challenge for an adviser to ...

It's recommended you train supervisors on how your firm uses expert networking consultants and how they can "escalate any material issues" to your leadership, SIFMA ...

Click here to open a Word file that is an example of a firm's code of ethics. This comes courtesy of Lori Renzulli, GC/CCO of ...

Click here to open a Word file that is an example of a whistleblower policy in response to the SEC's 2011 whistleblower rule. This example ...

Click here to download an Excel file contributed by Michael Minces, general counsel of Blue River Partners in Dallas. This is a template designed to ...

A quality compliance program must have discipline. "I think it's hard to claim that if you're not working from some kind of [compliance] calendar," believes ...

A peer shares here a Word file that is a quarterly compliance attestation that employees are required to sign. This is a best practice to, ...

Insert an item reserved for a compliance topic into the agenda for every staff meeting. This initiative at Hogan Financial Management ($169M in AUM) in ...

The SEC doesn't require you to include a gifts and entertainment policy in your code of ethics but many reasons suggest this as a best ...

Southern California readers may smirk but last month's East Coast earthquake rattled the nerves of people unaccustomed to feeling the ground dance. When the shaking ...