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Compliance Best Practices

Rules would restructure dramatically the way that qualified custodians provide custody services,' attorneys warn
Re-papering agreements. Establishing new compliance P&Ps. Reining in marketer expectations. While the new SEC IA ad rule will give you great flexibility, it also hands ...
'Compliance and marketing teams are in a challenging spot...'
Forms
A peer shares an example of the firm's conflicts questionnaire, issued to staff annually as a way for compliance to spot new potential conflicts of ...
Indian female agent helping client sign the application document
This form is used annually, completed by staff and scoured by compliance to look for new potential conflicts of interest
Tips include to take a sampling of senior clients and check to see if reps are putting notes in your CRM to document their most ...
“I think it’s going to be a nightmare. I think that’s the best way to put it,” says one CCO
Just when you thought it was safe to go back to the office
Firms may be hostage to old marketing pledges
Worried woman in the night buying online at home
If the SEC bothers to put out an exam alert for a regulation that’s a decade old, you know it’s looking to make a statement
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