Compliance Best Practices

Take it as a given that OCIE examiners will seek to understand the organizational structure of your compliance department, ask about your budget and request ...

A peer shares the firm's policy on whether to retain or shred documents.

Like striking a match in a tinderbox, engaging in cross trades creates hazards that can easily burn an adviser (see related story). Let's recap the ...

If you hire advisers at a hedge fund, private equity, venture capital, real estate or funds of funds to manage a portion of your clients' ...

The spectrum on staff compliance training at IAs spans the gamut, from no set approach to monthly meetings. You can take some ideas to expand ...

Not long after the party favors had been cleaned up from the new year's festivities, the SEC issued four new FAQs that will force you ...

Click here to download a Word file contributed by a peer. This form helps the RIA ask entities for “covered persons” under the SEC's bad ...

With the New Year upon us, there's no better time to plan your 2014 accomplishments. Here are goals your peers shared with us:Create an improved ...

Superstorm Sandy lashed the east coast in October 2012, rendering many advisory firms unusable for days or forcing alternative arrangements. Nicholas Caruselle experienced the storm ...

2014 likely will bring new regulations affecting IAs, e.g., money market fund reforms from the SEC (IA Watch, Oct. 28, 2013). However, there’s no guarantee ...