Compliance Best Practices

Jerome Keenan feels like David in a land of Goliaths. The CCO at JSK Associates ($29M in AUM) in White Plains, N.Y., recalls the day ...

Monday begins the SEC's pay-to-play rule - or at least most of it - with uncertainty around some parts. For example, should a CCO be ...

This is a records retention and document destruction policy courtesy of Michelle Jacko, CEO of Core Compliance & Legal Services in San Diego.

A CCO can go far in shaping a SEC exam by making a good first impression."It's by no accident that we address our [document request] ...

Conducting an annual review of your compliance program forms a pillar of the SEC's expectations for RIA CCOs. How you do it depends largely on ...

The biggest provisions within the SEC's pay-to-play rule take effect next week. Consider this scenario: a disgruntled employee next month announces he's leaving your firm. ...

A peer shares a format for writing an annual review report.

Click here to open an MS Word document that is a new account checklist courtesy of Michelle Kennedy, president of Compass Compliance Services in Greenville, ...

Click here to an MS Excel of a risk matrix created following an annual review. This example comes courtesy of Stephanie Brown, the CCO at ...

IPads appear to be all the rage, and their business potential doesn't escape even the casual user, what with its rapid access to the Internet ...