Code of Ethics

This report addresses the assessment phase of FINRA's retrospective review of its gifts, gratuities and non-cash compensation rules. The review is part of an ongoing ...

An easy out for many compliance staff given the duty to train firm employees on gifts and entertainment rules is to adopt the lowest regulatory ...

Only a few months after the SEC charged an investment adviser with falsely claiming compliance with the Global Investment Performance Standards (IA Watch, June 2, ...

This is the Advisers Act's code of ethics rule

Contemplate adding this strategy to your compliance quiver: when you find a violation of your firm's code of ethics, go back and check the employee's ...

It's not uncommon for CCOs to oversee multiple entities these days, e.g., a mutual fund adviser and one that handles separately managed accounts. If you're ...

This enforcement case targets an adviser that fell completely off the rails when it comes to compliance. For example, the firm "never had adequate written ...

This is a case many compliance officers point to because the SEC accused Carl Johns of lying to the adviser's CCO. Johns ignored the firm's ...

That exam initiative announced last fall by the newly-named OCIE Director Drew Bowden continues to percolate but more time is needed before the agency can ...

When does a head trader turn into the belle of the ball? When he's new.The line of brokers coming to see the new head trader ...