Annual Review

Create a spreadsheet at the start of the year that features a gap analysis of your compliance manual

Gooder can clearly do better. Grenville Gooder, Jr., a 55-year securities industry veteran, and his SEC-registered advisory firm Ascension Asset Management ($152M in AUM), were ...

Undoubtedly, having a process for your annual review relieves you of worry and sets the tone for accomplishing this critical task (IA Watch, Jan. 14, ...

The custody rule is designed to protect advisory clients from the misuse or misappropriation of their funds and securities. It requires that registered advisers who ...

Imagine informing your regulator about the need for more compliance resources. In effect, that’s one of the elements the CFTC will require in the annual ...

Along with adopting and implementing written policies and procedures reasonably designed to prevent violations of the federal securities laws and designating a CCO to administer ...

Dupree Financial’s prior CCO stepped down in May 2015, and now solely performs her administrative duties. Also in May 2015, Dupree Financial appointed a new ...

Futures commission merchants, swap dealers and major swap participants will get an extra 30 days to file their chief compliance officer annual reports under proposed ...

Jotting down a note helps ensure you return from the grocery store with all the items you need so it’s likely to work for the ...

Recorded: February 9, 2016