Compliance Best Practices

All advisers, even exempt reporting advisers, will be subject to the preferential treatment rule

'We want this to be something where the industry can... come up with solutions...'

'Our primary goal is to provide relief'

A peer shares an example of a gifts and entertainment compliance policy and procedure

This sample log comes courtesy of Lisa Marsden, president of Coulter Strategic Services in Coral Springs, Fla.

Much talk is heard about the need for private fund advisers to report their beneficial owners under new FinCEN rules. Despite new FAQs, questions remain ...

Annually quiz staff on where they’re getting gifts from, and use the occasion to remind them they do need to report them to compliance

Stay up on what your peers consider our top stories for the month

An adviser CCO tells of a recent SEC exam that deeply probed the adviser’s due diligence into its pricing services used for establishing valuations

The Commission has released a new set of 10 FAQs tied to the short disclosure form that investment advisers and broker-dealers must share with their ...