Compliance Best Practices

A sample compliance questionnaire for a subadviser from a 2010 Board Oversight of Subadvisers report by the Independent Directors Council.

A sample compliance certification for a subadviser relationship from a 2010 Board Oversight of Subadvisers report by the Independent Directors Council.

Given the current attention on client assets, consider comparing a sampling of client account statements with those from the custodian to make sure the numbers ...

RIAs often come to Michele Gibbons, pointing out what their competitors are doing with social media and asking why they can't, too. The partner with ...

You must engage in an annual review of "the adequacy" of your firm's compliance policies and procedures - but how you get there can vary ...

Some suggest that a best practice would be to keep such logs in a WORM format - write once, read many - which doesn't allow ...

Click here to download a Word document of an annual review tool for RIA policies and procedures courtesy of Nancy Lininger at The Consortium in ...

Shakespeare may have written "caviar to the general," but you may wish to try candy for the troops.As a compliance officer, Devin House always kept ...

Compliance officers use this type of letter to request staff trading data from brokers

IA Watch makes available our 2010 Compliance Calendar to our subscribers. Download it to your current calendar application. And it's easy to do, simply follow ...