Compliance Best Practices

Click here to open a Word file that is an example of a compliance calendar. A peer shares this example with you. IA Watch produces ...

It's as constant as the flow of the Mississippi: the stress to chase better returns. The pressure has only hardened in the yo-yo market of ...

This is an example of a due diligence questionnaire, courtesy of Michelle Jacko, CEO of Core Compliance & Legal Services in San Diego.

It can happen in an instant. Two portfolio managers huddle in the hallway over how to value a difficult-to-pin down security. Should you document that?The ...

Many firms maintain a library of pre-approved answers that can be inserted into an incoming due diligence questionnaire (DDQ) or request for proposal (RFP). This ...

This is a list of red flags that could potentially point to senior financial abuse. This comes from the Weinberg Center for Elder Abuse Prevention.

Sterner levels of due diligence by savvy investors, especially institutions, have led to increasing requests for advisers to fork over more documents - including their ...

Each month the RIA holds an all-hands meeting. Compliance gets its five minutes in the sun, when the CCO poses a scenario related to the ...

Try this idea: Periodically take a chapter from your compliance manual and visit the relevant area at your firm to test if its procedures remain ...

This is a job description for a compliance manager that comes from one of your peers.