Compliance Best Practices

A peer shares an example of a gifts and entertainment compliance policy and procedure

This sample log comes courtesy of Lisa Marsden, president of Coulter Strategic Services in Coral Springs, Fla.

Much talk is heard about the need for private fund advisers to report their beneficial owners under new FinCEN rules. Despite new FAQs, questions remain ...

Annually quiz staff on where they’re getting gifts from, and use the occasion to remind them they do need to report them to compliance

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An adviser CCO tells of a recent SEC exam that deeply probed the adviser’s due diligence into its pricing services used for establishing valuations

The Commission has released a new set of 10 FAQs tied to the short disclosure form that investment advisers and broker-dealers must share with their ...

These new FAQs were released in December 2023

The Division encourages security-based swap dealers to consider improvements in their compliance programs, as may be appropriate, to further compliance with Exchange Act requirements. The ...

Given that 2024 is a presidential election year, the smart money sides with the SEC backing off a bit from its aggressive rulemaking, exam and ...