Compliance Best Practices

Last week a Canadian attorney apparently committed suicide rather than face insider trading charges. The SEC also barred a former Goldman Sachs rep for feeding ...

An example of a web-service agreement provided by one of your peers. Some suggest you have clients sign agreements like this and maintain them as ...

Should the SEC adopt its pay to play proposal ( IA Watch, Oct. 12, 2009), advisory firms should consider adopting best practices, such as adding ...

Mistakes with advertising and marketing generate enough deficiencies to reside within the top 5 issued by SEC examiners. In the fiscal year just ended, 30% ...

An excel file that is a fair valuation request form, courtesy of David Hunt, that lays out a good procedure to substantiate valuation of a ...

When Yogi Berra uttered his famous malaprop he wasn't speaking about the North American Securities Administrators Association's biennial compilation of best practices for advisory firms ...

Examples of various disclaimers and disclosures submitted by your peers. Share yours. Contact Carl Ayers at 301–287–2435 or cayers@iaweek.com.

Increase the chances of persuading your superiors to support your compliance initiatives by indicating how they would "lead to a quantifiable return on investment," states ...

A risk matrix tool courtesy of Krista Zipfel, CEO & President of Advisor Solutions Group in Newport Beach, Calif.

You'd be excused for thinking compliance officers are attracting the gaze of regulators what with the recent spate of cases charging CCOs (IA Week, July ...