Compliance Best Practices

Click here to open a Word file that is an example of a due diligence questionnaire. This comes courtesy of Fred Shane, chief risk officer ...

This is a list of best practices for firms to consider as part of their business continuity planning (BCP). The SEC, CFTC and FINRA jointly ...

Click here to open a Word file that is a template to track your questions and notes for an on-site due diligence visit. This comes ...

Counter those yawns and sighs during staff compliance training about your electronic policies and procedures by giving the audience a glimpse of what you see ...

CCOs must understand the valuation process, "how the values are derived, what the trends mean or don't mean, what the outliers mean or don't mean," ...

You seldom see the SEC pressing enforcement actions against advisers for best execution violations yet two such cases just popped up (IA Watch, Aug. 5, ...

The SEC expects some monitoring of firm e-mails but the structure of your inquiry depends on you. What's clear is your peers are spending up ...

A peer shares this questionnaire that you can use when seeking to development business outside the U.S.

Today's the day. July 22nd is when the Alternative Investment Fund Managers Directive takes effect (IA Watch, July 8, 2013). U.S. managers selling private funds ...

You never know what you'll find in an encyclopedia, especially if it's online. One adviser was floored to discover that the firm had a Wikipedia ...