Compliance Best Practices

“The central question is, ‘Are you breaching your fiduciary by focusing on these ‘political’ questions or are you actually upholding your fiduciary by upholding value ...

Gain ideas from this adviser's code of ethics

Heed the lessons of the SEC’s latest off-channel communications enforcement action against an adviser and you may well sidestep a similar fate

"As with the recordkeeping cases and, frankly, all our cases, we consider whether a firm self-reported and cooperated with our investigation"

"Compliance officers and their staff must remain vigilant and scan the horizon for new and emerging risks to ensure their compliance programs continue to offer ...

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Private funds' thinking has evolved from "risk management" to "value creation," PwC's Eric Janson says on RCW webinar

Here are some preventative measures you can take to help prevent similar issues at your firm

With mergers and acquisitions continuing apace in the industry, know that CCOs can play a key role whenever an advisory ownership change occurs

A source passes on several examples of death and arbitration clauses