Compliance Best Practices

With insider trading very much in the news, you will want to consider a number of tips to discourage reps at your firm from engaging ...

There's disagreement over whether Massachusetts' new regulatory proposal governing IA relationships with expert networking firms would apply to firms outside the state, but it certainly ...

You know you must stay away from testimonials or risk the wrath of the SEC but sharing a partial client list - within certain bounds ...

A rash of recent enforcement cases naming CCOs begs the question: Are regulators taking aim at failed compliance professionals?In recent weeks we've witnessed the ordeals ...

The firm's marketing presentation included a slide designed to show its buy-sell discipline. SEC examiners saw it differently. They felt the material amounted to a ...

Click here to download a Word template, courtesy of Aaron De Angelis of Spring Mountain Capital in New York, that can aid in the tracking ...

If you could spend your entire day going from one committee meeting to another, you'd be able to map out your firm's issues like a ...

You also could consider forcing departing employees to sign a statement attesting that they have deleted any company records from their home computer

If you've taken a crack at the new supplements, odds are difficulty arose when tackling outside business activity, additional compensation and supervision. The SEC's recent ...

In a perfect world, a rule never needs to bend. In the real world, circumstances can test even the best code of ethics.Consider this scenario: ...