Compliance Best Practices

A CCO tells of recently discovering that an online tool also can produce automatic transcriptions of meetings, and send the paperwork directly to your e-mail

The new DOL rule makes clear that 'a recommendation to move from a commission-based account to an advisory fee-based account (or vice versa) would be ...

Heaped on top of the Labor Department’s new fiduciary duty rule, comes several revisions to existing ERISA PTEs, including the vital rollover exemption used by ...

Eye our most popular content for the month

The DOL maintains its new rule is 'generally consistent' with the SEC’s fiduciary duty interpretation for advisers and Reg BI for B-Ds

As with exams over the past year, the DOE quizzed about the use of electronic communications for business purposes

Firms must e-mail the DOL by Sept. 15th at QPAM@dol.gov, including “the legal name of the entity and any name the QPAM may be operating ...

The Division encourages advisers to reflect upon their own practices, policies, and procedures and to implement any appropriate modifications to their training, supervisory, oversight, and ...

You may not always agree with your regulator’s stance but you often have little choice but to heed it

Compliance officers must remain vigilant, and their bosses need to provide “the proper resources” to compliance departments, counseled the SEC Division of Examinations Director Richard ...