Compliance Best Practices

With the clock ticking toward a Sept. 13th date for advisers to mutual funds to comply with the second part of the SEC's play-to-play rule, ...

The SEC doesn't describe how you should assess your risks but examiners are likely to ask for your paperwork related to assessing your firm's risks. ...

This is a template of a letter, perhaps crafted by the Investment Company Institute, designed for advisers to send to broker-dealers and others in an ...

Click here to open an Excel file that a peer shared. It is an example of the firm's risk assessment, which could give you some ...

This Word file is a superb example of an RIA's risk assessment submitted by one of your peers. It may give you ideas for your ...

Conducting due diligence on the network firm is critical

This week, at a June 22 open meeting, the SEC is expected to announce the deadline for registration of larger private equity fund advisers. Those ...

Have you checked occasionally the e-mail traffic between your traders and your sales team? This could make a good test for best execution, as the ...

This is an example of a questionnaire firms can give to employees to spot potential conflicts of interest. This comes courtesy of Victoria Hogan of ...

One CCO plans to discuss the whistleblower rule before the firm's compliance committee before deciding upon next steps