Compliance Best Practices

Are you one of those people who doesn't quite feel alive until you've had that first cup of coffee in the morning? Traders can be ...

Sometimes you have to go back to move forward.While many firms employ state of the art software to assist with e-mail reviews, a general counsel ...

IA Watch makes available our 2011 Compliance Calendar to our subscribers. Download it to your current calendar application. And it's easy to do, simply follow ...

This month some advisory firms are getting a surprise visit and chances are it's not a jolly old man in a big red suit. Accountants ...

You have a few months before the SEC's pay-to-play rule kicks in (IA Watch, Dec. 13, 2010), which gives you time to put in place ...

This is text a peer shares for a letter the firm sends to clients alerting them that they may be contacted by an accountant performing ...

These are sample policies and procedures for handling whistleblowers. These come courtesy of Debra Brown, president of Self Audit, Inc. in Beverly Farms, Mass.

Sometimes there are few bright lines. Take the sale of unregistered securities such as hedge fund offerings. Most funds rely on exceptions under Reg D, ...

A core responsibility of a chief compliance officer's job is to put in place compliance policies and procedures that match the firm's risks. You can ...

The topic of due diligence pops up a lot in current SEC exams (IA Watch, Nov. 8, 2010), yet there is no industry standard on ...