Compliance Best Practices

A compliance officer in Pennsylvania summarizes the conundrum - ah, let's make that, problem - with the SEC's demand that advisers create a plain-English Form ...

You may be asking this same question if a client or trustee has granted your firm permission through an LOA to dip into his account ...

James Dawson washed out of professional basketball and now the former investment adviser has been barred from the advisory industry for three years for cherry ...

The payday came last week for Glen and Karen Kaiser, who dropped a dime to the SEC about Karen's former husband and helped the agency ...

This one may have caught a few of you by surprise. The provision of the new financial regulatory reform law that can snag some firms ...

A peer shares how the firm educates staff about the Massachusetts data security rule.

A peer shares frequently asked questions related to the Massachusetts data security rule assembled for the firm.

Many firms lump their policy disclosures to clients when they offer their annual Form ADV, Part II. Be careful. Some firms forget to include a ...

Rose Rudden is looking at a $65,000 fine and at least a one-year bar from supervision after an administrative law judge sided with the SEC ...

A paper prepared by Ed Pittman of Dechert in Washington, D.C., that takes an early look at the SEC's description of its pay to play ...