Compliance Best Practices

No one quite agrees on the definition of "cloud computing," a phrase that's all the rage. Sites like Amazon and gmail are examples of public ...

This is a tip sheet designed in 2011 to help mid-sized advisers making the transition from SEC to state registration in 2012. This comes courtesy ...

Next Friday officially ushers in the SEC's new whistleblower rule, although it's more of a technicality because complainants could have qualified for financial rewards for ...

Only months after you've revamped your Form ADV, Part 2 plain-English brochure, you'll be tackling a generously modified version of Form ADV, Part I when ...

This month the SEC's new whistleblower rule takes effect. One of the scariest aspects of the rule is its prohibition against engaging in any retaliation ...

Has your firm glanced lately at its insurance policy? Your directors and officers' (D&O) coverage may need to be adjusted considering that Dodd-Frank gave the ...

Three waste baskets occupy each office at John A. Wolfe & Associates ($400M in AUM) in Portage, Mich. One takes standard trash. A second is ...

This is a copy of an SEC limited-scope exam letter sent to an RIA in the Miami Regional Office.

This is a firm's data destruction P&P.

Although it may be unpleasant, think back to 2008 and the liquidity crisis that made valuation of some securities nearly impossible. As the trading desk ...