Compliance Best Practices

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 ...

Some advisers may legitimately have cybersecurity concerns about listing the address of their cloud provider, fearful it could give hackers a designation where they can ...

RCW interviews Jane O'Brien and Manuel Frey on what advisers should do to prepare for the end of LIBOR

CCOs should know which consultants are working at their firm and whether they have access to trading information

You can compare the new exam request letter with one RCW shared two years ago to see DOE’s evolution regarding ESG. If your firm engages ...