Compliance Best Practices

This is an example of an annual questionnaire and certification, courtesy of Steven Felsenthal, general counsel and CCO at The Millburn Corporation in Greenwich, Conn. ...

Think of this as a recount. Recently we shared some strategies for handling reconciliation - including the thought that it's best to reconcile your client's ...

Create a plan for responding rapidly to SEC document request letters and put thought into any claims of privilege before examiners arrive (IA Watch, 10/19/2009).These ...

A client asks "how can you prove your firm is financially secure?"You may have heard this question - or a version of it - in ...

Recent months have produced a rash of cases alleging a failure to supervise or to perform compliance duties (IA Watch, Oct. 26, 2009). The most ...

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 ...