Compliance Best Practices

When Kuehl Shepherd Kozlowksi ($331M in AUM) in Richmond, Va., set about to purchase a customer relationship management (CRM) system, fresh lessons floated to mind."We've ...

A peer shares examples of how the firm encourages staff to report possible violations to the CCO through its compliance manual and code of ethics.

With insider trading very much in the news, you will want to consider a number of tips to discourage reps at your firm from engaging ...

There's disagreement over whether Massachusetts' new regulatory proposal governing IA relationships with expert networking firms would apply to firms outside the state, but it certainly ...

You know you must stay away from testimonials or risk the wrath of the SEC but sharing a partial client list - within certain bounds ...

A rash of recent enforcement cases naming CCOs begs the question: Are regulators taking aim at failed compliance professionals?In recent weeks we've witnessed the ordeals ...

The firm's marketing presentation included a slide designed to show its buy-sell discipline. SEC examiners saw it differently. They felt the material amounted to a ...

Click here to download a Word template, courtesy of Aaron De Angelis of Spring Mountain Capital in New York, that can aid in the tracking ...

If you could spend your entire day going from one committee meeting to another, you'd be able to map out your firm's issues like a ...

You also could consider forcing departing employees to sign a statement attesting that they have deleted any company records from their home computer