Compliance Best Practices

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: ...

Consider this compliance tactic to get staff to appreciate the need to seek best execution and how brokers may attempt to sway business their way: ...

Review of the questionnaires should aid Members in recognizing potential problem areas and alert them to procedures which need to be revised or strengthened. The ...

With luck, it happens every day - your firm welcomes a new client or two or three. Many of your peers play off of checklists ...

You've heard of take-your-kid-to-work day. How about the take-your-trader-to lunch idea?Over the meal, ask the trader to describe the process of working a trade - ...