Compliance Best Practices

The investor, a religious group, placed restrictions upon the investment adviser managing its account: buy no tobacco stocks. A purchase of Sara Lee securities seemed ...

In a year when some advisory firms have been embarrassed, sued and targeted by regulators for sloppy due diligence of business partners, it is worthwhile ...

This on-site due-diligence questionnaire for sub-advisers is courtesy of CCO Christina Sears of American Beacon Advisors in Fort Worth, Texas.

This questionnaire comes from CCO Christina Sears of American Beacon Advisors in Fort Worth, Texas. She created this as an annual tool to question the ...

Here's a model of behavior that's worth contemplating, especially considering the source: David Bergers, the director of the SEC's regional office in Boston. He recently ...

The struggle to find a compliant privacy notice to give clients ended last week, as the SEC and seven other federal agencies finally agreed to ...

The cases keep coming. In the weeks since the news splashed about the arrest of billionaire Raj Rajaratnam at Galleon (IA Watch, Oct. 16, 2009), ...

Seeking a shortcut to a sound annual review? Assemble your risk assessment, a summary of your forensic tests for the year and a list of ...

Click here to open an Excel file that lists a schedule of forensic tests for the year. This annual schedule comes courtesy of Linda Shirkey, ...

Industry pros offer up more ideas for compliance testing to improve your programHere's a simple rule-of-thumb held by RobertTull, VP and compliance officer at ING ...