Compliance Best Practices

'Historically, these have been the major areas that have been stressed during marketing cycles, and I think the SEC has noticed that'

Sample our most popular content of the month

Odds are your firm will suffer a computer breach, if it hasn’t already—and you may not even know it

Venn diagram maps out pain points among valuation, marketing, fees and expenses

Here’s a tip. Ask your accounting department for a list of vendors your firm pays and double-check to ensure they’re really your vendors

'Whenever you see the SEC taking action across rulemaking, exams and enforcement... it should be seen as a clear signal that this is a big ...

A peer shares the firm's due diligence checklist

Do you feel lucky? When you play Blackjack, do you request a card when holding 12? Or when shooting dice, are you more likely to ...

If your firm sells insurance products, you could be feeling lately like you’re being hit by a one-two regulatory punch given the Labor Department’s recent ...

It seems the industry’s questions about Form ADV must have been building up at the SEC for some time, as the agency has now released ...