Compliance Best Practices

There's a family divide in the regulatory world. Dodd-Frank made clear that single family offices need not register with the SEC but advisers that manage ...

If you're a casual observer of LinkedIn, you may have missed that the site now permits endorsements. An enhancement to a social media site could ...

The aftermath of the SEC's settlement with eight former board members of five mutual funds related to Morgan Keegan & Company ($10B in AUM) in ...

Click here to open a Word document that are instructions for how to turn off endorsements on LinkedIn pages. This comes to you from Stephanie ...

A chief compliance officer who chooses to keep trading records "in my head" rather than in documents is sure to run into trouble, especially if ...

A recent FINRA settlement with a former Merrill Lynch rep illustrates the wisdom of having good safeguards in your procedures surrounding the transferring of customer ...

It's natural to be nervous about testing your business continuity plan. Who wants to be the one to blame if it doesn't work?Consider a solution ...

Entities that receive and rely upon exemptive orders are at risk of violating the federal securities laws if they fail to comply with the representations ...

The CEO gathered his team in a conference room. Special guests sat among the invitees: consultants with surprising news. Pretend an emergency has hit that ...

If you've ever questioned the wisdom of e-mail monitoring, consider this story. A CCO searches for the word "offer" and discovers an exchange in which ...