Compliance Best Practices

In a story last week (IA Week, April 13, 2009) entitled "grade these ideas for annual review test from your peers," James Jones, CCO/director of ...

A fair valuation request form, courtesy of David Hunt, that lays out a good procedure to substantiate valuation of a security.

A typical CCO will be called upon to conduct investigations large and small. With today's economy, the idea of paying an outside firm to handle ...

A tool to use for forensic testing. This is an ideal cover sheet for each test, courtesy of David Hunt of Dallas.

A matrix you can use to track potential conflicts among staff, principals, affiliates and clients.

If your firm awarded annual bonuses, in part, based upon an employee's adherence to its compliance rules, staff would take notice. The gesture would also ...

Start gathering your documents as soon as you receive the letter – the SEC’s notice that its examiners are coming and the list of materials ...