Compliance Best Practices

The latest SEC enforcement action targeting insider trading reads like a mix of espionage and office politics, with its claim that the suspects "exchanged illegal ...

From all outward appearances, the Indian-born financial professional in Singapore seemed a perfect partner to do business with. However, an inquiry into his past revealed ...

The Dow opened the year at 8,776, slid to 6,600 in March, and the index looks as if it will close the year over 10,000. ...

Sample opinions on the anniversary of the revelation of the world's largest Ponzi scheme - with the arrest Dec. 11, 2008 of one Bernie Madoff ...

Make iawatch.com your next stop to download a template for designing your annual review. The tool features three areas for the review: 1. Form ADV, ...

This list of recommended best practices comes from the Massachusetts Securities Division, but the advice can be helpful regardless of where your firm is based:1. ...

Last month we shared 11 best practices for CCOs from an SEC regional director (IA Watch, Nov. 23, 2009). The first was to "understand what ...

The performance software system will permit the advisory firm to easily send out quarterly statements to clients. But it comes with a price tag: $150 ...

The investor, a religious group, placed restrictions upon the investment adviser managing its account: buy no tobacco stocks. A purchase of Sara Lee securities seemed ...

In a year when some advisory firms have been embarrassed, sued and targeted by regulators for sloppy due diligence of business partners, it is worthwhile ...