Compliance Best Practices

After you type that final period into your Form ADV, Part 2 brochure, assemble a focus group of 3-4 clients and ask for their feedback."Test ...

Some have questioned the SEC's time estimates for completing the new narrative Form ADV, Part 2. Korrine Kohm has already produced four of them and ...

Perhaps it's an unannounced visit by law enforcement. Or a seriously injured employee. Or the discovery of a government whistleblower within your midst. Responding to ...

All this talk about due diligence shouldn't leave out your custodian. Sure, assessing the strength of big boys like Schwab and Fidelity may be different ...

If you don't have a hotline for employees to report wrongdoing, the losses you sustain from a fraud could be 55% higher than if you ...

Click here to open an Excel file that can serve as a template for tracking documents needed for an SEC exam. This tool comes courtesy ...

This is a sample memo to alert staff to preserve documents in light of a government investigation, shared courtesy of Mark Egert, a partner with ...

This is a sample memo for firms to notify staff of a government investigation, courtesy of Mark Egert, a partner with Crowell & Moring in ...

This is a crisis handbook shared with permission of Mark Egert, a partner with Crowell & Moring in New York. Egert created this handbook to ...

What a stunning statistic: Over the next 20 years, 10,000 Americans will turn 60 years old every 24 hours.Tod Sawicki, a partner with Alston Bird ...