Compliance Best Practices

This on-site due-diligence questionnaire for sub-advisers is courtesy of CCO Christina Sears of American Beacon Advisors in Fort Worth, Texas.

This questionnaire comes from CCO Christina Sears of American Beacon Advisors in Fort Worth, Texas. She created this as an annual tool to question the ...

Here's a model of behavior that's worth contemplating, especially considering the source: David Bergers, the director of the SEC's regional office in Boston. He recently ...

The struggle to find a compliant privacy notice to give clients ended last week, as the SEC and seven other federal agencies finally agreed to ...

The cases keep coming. In the weeks since the news splashed about the arrest of billionaire Raj Rajaratnam at Galleon (IA Watch, Oct. 16, 2009), ...

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 ...