Compliance Best Practices

Tasks such as setting up bank accounts, creating legal entities, obtaining tax ID numbers, finding a transfer agent, scoring D&O insurance for officers, lining up ...

It is important that all regulated financial institutions have an open and constructive LIBOR transition dialogue with their regulators, both home state and host state, ...

Know that an inherited IRA cannot be rolled over but a spousal one can be

Look out for additional expenses, perhaps labelled a 'surplus line' tax, a 'stamping tax,' a 'stamping fee' or a 'broker filing fee'

Firms can do a better job of publicizing their hotlines. One CCO talks about it annually during compliance training and posters hang in employee breakrooms ...

A source shares an example of a private fund risk matrix

“You don’t want to get into a world where the unvaccinated are treated as the Lepers of the workplace”

Life could be so less complicated if things aligned. Take the SEC’s new IA ad rule, which began this month, and GIPS 2020. They both ...

In the end, “you’ve got to be willing to walk away"

There have been signs “to be concerned that some firms are not taking [the LIBOR transition] seriously, are not taking the steps that they need ...