Compliance Best Practices

A peer shares the firm's due diligence checklist

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 ...

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 ...

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 ...

Here are RCW's most popular stories for the month

Penalties top $5 billion, Grewal seeks 'three e's'

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 ...

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 ...

Disclosure anchors the advisory regulatory regime but a key phrase clings to it that some consider vague and potentially troublesome: “informed consent”

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 ...