Compliance Best Practices

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 wasn't subtle the way the SEC earlier this month released news of 22 settlements and a risk alert around short selling and violating Reg ...

Say your firm must complete Form PF but the task has been delegated to others in your shop. Perhaps you should at least know what ...

Click here to download an Excel file that gives you a template for how to display compliance tests and their results for use in your ...

Compliance issues related to Rule 105 of Regulation M, which governs short selling prior to pricing of certain offerings. Key Takeaways: Investment advisers, investment companies, ...

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 ...

Just days after the SEC, CFTC and FINRA issued joint best practices for firm business continuity plans (IA Watch, Aug. 26, 2013), OCIE followed suit. ...

This is an OCIE risk alert published in August 2013 that includes best practices for RIA business continuity plans (BCP) taken from lessons learned following ...

In an act of unprecedented harmony, the SEC, CFTC and FINRA have jointly released best practices and lessons learned for firm business continuity plans based ...

It could prove more telling than a stack of financial statements or a pile of compliance policies and procedures: the body language of someone you're ...