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Compliance Best Practices

Handsome business man with raised hand sitting in armchair and waiting for flight at airport lobby.
Do you feel lucky? When you play Blackjack, do you request a card when holding 12? Or when shooting dice, are you more likely to ...
Washington, DC, aerial photograph taken from a helicopter in 1991.
If your firm sells insurance products, you could be feeling lately like you’re being hit by a one-two regulatory punch given the Labor Department’s recent ...
Back view of large group of students attending a seminar at the university, raising their hands and voting. Focus on hands and heads. Teacher in the background.
It seems the industry’s questions about Form ADV must have been building up at the SEC for some time, as the agency has now released ...
Top 10 sign made of wooden dices on a table i a bright environment with blue colors
Here are RCW's most popular stories for the month
Penalties top $5 billion, Grewal seeks 'three e's'
Close-up stock photograph showing a touchscreen monitor being used in an open plan office. A woman’s hand is asking an AI chatbot pre-typed questions & the Artificial Intelligence website is answering.
Two months ago, RCW revealed that the SEC’s Division of Examinations has launched a sweep exam related to advisers’ use of artificial intelligence—but we weren’t ...
Hand flipping wooden cubes for change wording" Panic " to " Calm". Mindset is important for human development.
The SEC’s pace of rulemaking in the last two years will challenge firms and CCOs, even as the Commission should lay out a “framework” to ...
closeup of a young woman patient signing an informed consent at the doctors office
Disclosure anchors the advisory regulatory regime but a key phrase clings to it that some consider vague and potentially troublesome: “informed consent”
Man offers the Emergency plan for business.
The firm contemplated a plan to respond to a criminal escaping from a nearby hospital who then threatened the public. Six months later, “that actual ...
Aerial view of fire department firetrucks extinguishing wildfire burning severely in Florida jungle woods. Emergency service firemen trying to put down flames in forest.
This comes from the Cybersecurity & Infrastructure Security Agency
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