Compliance Best Practices

Seeking a shortcut to a sound annual review? Assemble your risk assessment, a summary of your forensic tests for the year and a list of ...

Click here to open an Excel file that lists a schedule of forensic tests for the year. This annual schedule comes courtesy of Linda Shirkey, ...

Industry pros offer up more ideas for compliance testing to improve your programHere's a simple rule-of-thumb held by RobertTull, VP and compliance officer at ING ...

This is an example of an annual questionnaire and certification, courtesy of Steven Felsenthal, general counsel and CCO at The Millburn Corporation in Greenwich, Conn. ...

Think of this as a recount. Recently we shared some strategies for handling reconciliation - including the thought that it's best to reconcile your client's ...

Create a plan for responding rapidly to SEC document request letters and put thought into any claims of privilege before examiners arrive (IA Watch, 10/19/2009).These ...

A client asks "how can you prove your firm is financially secure?"You may have heard this question - or a version of it - in ...

Recent months have produced a rash of cases alleging a failure to supervise or to perform compliance duties (IA Watch, Oct. 26, 2009). The most ...

Last week a Canadian attorney apparently committed suicide rather than face insider trading charges. The SEC also barred a former Goldman Sachs rep for feeding ...

An example of a web-service agreement provided by one of your peers. Some suggest you have clients sign agreements like this and maintain them as ...