Compliance Best Practices

Make sure you revise your code of ethics, introduce new policies and procedures, create forms for recordkeeping and train staff about the SEC's new pay-to-play ...

Too many advisers are 'wasting a lot of money,' effort and time registering reps needlessly. 'They forget about the federal definition of an IA rep, ...

Click here to download a Word file that comes from a peer who shares the firm's form for new hires to complete to assist the ...

It comes around every year about this time, like the Super Bowl. The need to get staff to attest to having read, understood and complied ...

The SEC expects your policies and procedures to include a look at the "accuracy of disclosures made" in advertisements but it doesn't lay out a ...

If you're like most advisers, you're nowhere near finishing your plain-English Form ADV, Part 2 brochure. Book extra time, turn to colleagues, use a template ...

2011 Regulatory Calendar for RIAsCompliance DeadlineRegulatory RuleJan. 1, 2011Safe harbor ends for certain wording within privacy notices (IA Watch, Dec. 13, 2010). Jan. 1Enforcement begins ...

A little planning goes a long way toward helping to chart a successful year.The strategizing begins in December at Kennedy Capital Management ($2.8B in AUM) ...

You may know them as researchers, consultants or expert networks. Some advisers are simply calling them trouble, given the recent rash of insider trading cases ...

This is a Word file that contains a script you could use at your firm when portfolio managers and others talk with researchers, consultants or ...