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The route most advisers would take to limit avenues of business communications would be via their compliance P&Ps
The agency will release 'quite a bit of guidance' to help with compliance with the new IA ad rule 'between now and the November compliance ...
New York secondaries Next Gen leaders
Jacko recommends P&Ps “have a list of do’s and don’ts,” especially around “some of the hardest areas we might have to tackle”
Jacko recommends that you develop a compliance P&P specific to your firm’s use of social media that exists outside of your larger advertising P&Ps and ...
The final rule recommends other best practices, such as “conducting periodic training, obtaining attestations, and periodically reviewing content that is publicly available on associated persons’ ...
MML Investor Services will pay $4.75 million to settle claims that it failed to supervise an employee who played a pivotal roll in the meme ...
How firms manage their obligations related to information collected from acquired customers is also being sought
Compliance could benefit from checking the chairman's social media posts
A peer shares the RIA's compliance manual, complete with numerous P&Ps
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