Compliance Best Practices

Conducting an annual review of your compliance program forms a pillar of the SEC's expectations for RIA CCOs. How you do it depends largely on ...

The biggest provisions within the SEC's pay-to-play rule take effect next week. Consider this scenario: a disgruntled employee next month announces he's leaving your firm. ...

A peer shares a format for writing an annual review report.

Click here to open an MS Word document that is a new account checklist courtesy of Michelle Kennedy, president of Compass Compliance Services in Greenville, ...

Click here to an MS Excel of a risk matrix created following an annual review. This example comes courtesy of Stephanie Brown, the CCO at ...

IPads appear to be all the rage, and their business potential doesn't escape even the casual user, what with its rapid access to the Internet ...

Some people ache to cross the finish line first. Here's some advice from peers who have already written and uploaded their new plain-English brochures and, ...

Many of you have asked to see examples of newly written plain-English brochures and www.iawatch.com complies (see the box below and this related story). Below ...

Whether the deadline for giving clients a brochure supplement prompts night sweats rests on just how many of the new documents your firm must create.A ...

Click here to download an attestation form a peer shares with research consultants or expert networks and maintains to demonstrates the firm's commitment against receiving ...