Compliance Best Practices

Know the SEC's advertising and marketing rules, create a social media policy, train staff and dive into the new media with a pilot project.That's among ...

Compliance officers often debate how extensive their compliance policies and procedures should be. If they're too rich in detail, it may tie the firm to ...

As the SEC prepares to release any day now new rules on general solicitation following passage of the JOBS Act (see related story), you may ...

An employee could elect to go to the SEC with word of possible misconduct, bypassing your internal compliance program. But if the person alerts you ...

OCIE officials have made no secret that they're going to set their sights on many of the newly registered private fund advisers (IA Watch, March ...

Relief has escaped a compliance officer of a hedge fund who claims he was fired when he confronted the boss with allegations of front running. ...

Click here to open up a Word document that serves as an example of how to comply with the Department of Labor's rule 408(2)(b) disclosure ...

Like other advisers, employees at Sterling Financial Planning ($289M in AUM) in Sparta, N.J. are permitted to create LinkedIn pages "but they're very, very skimpy ...

Former officials of pension giant CalPERS face fraud charges related to swindling an RIA out of $20 million in placement agent fees, a scam that ...

Nothing beats a compliance test that "involves a field trip," which is why David Hunt, deputy CCO at NFJ Investment Group ($35B in AUM) in ...