Compliance Best Practices

If you've taken a crack at the new supplements, odds are difficulty arose when tackling outside business activity, additional compensation and supervision. The SEC's recent ...

In a perfect world, a rule never needs to bend. In the real world, circumstances can test even the best code of ethics.Consider this scenario: ...

Consider this compliance tactic to get staff to appreciate the need to seek best execution and how brokers may attempt to sway business their way: ...

Review of the questionnaires should aid Members in recognizing potential problem areas and alert them to procedures which need to be revised or strengthened. The ...

With luck, it happens every day - your firm welcomes a new client or two or three. Many of your peers play off of checklists ...

You've heard of take-your-kid-to-work day. How about the take-your-trader-to lunch idea?Over the meal, ask the trader to describe the process of working a trade - ...

Jerome Keenan feels like David in a land of Goliaths. The CCO at JSK Associates ($29M in AUM) in White Plains, N.Y., recalls the day ...

Monday begins the SEC's pay-to-play rule - or at least most of it - with uncertainty around some parts. For example, should a CCO be ...

This is a records retention and document destruction policy courtesy of Michelle Jacko, CEO of Core Compliance & Legal Services in San Diego.

A CCO can go far in shaping a SEC exam by making a good first impression."It's by no accident that we address our [document request] ...