Compliance Best Practices

Increase the chances of persuading your superiors to support your compliance initiatives by indicating how they would "lead to a quantifiable return on investment," states ...

A risk matrix tool courtesy of Krista Zipfel, CEO & President of Advisor Solutions Group in Newport Beach, Calif.

You'd be excused for thinking compliance officers are attracting the gaze of regulators what with the recent spate of cases charging CCOs (IA Week, July ...

You're not necessarily finished with your firm's Form ADV once you've completed your annual update. There are several items on the form that must be ...

An example of a compliance calendar to help you build efficiencies into your program, courtesy of Krista Zipfel, CEO & President of the Advisor Solutions ...

A compliance log in an Excel format provided courtesy of Christina Sears, CCO at American Beacon Advisors in Fort Worth, Texas. This tool contains separate ...

Should you reconcile to the penny? It does appear to be a best practice but having a de minimus exception is common, especially among accounts ...

You don't have to recertify a qualified client due to the deflated market - but you should if the client provides new money.That's the summary ...

In a story last week (IA Week, April 13, 2009) entitled "grade these ideas for annual review test from your peers," James Jones, CCO/director of ...

A fair valuation request form, courtesy of David Hunt, that lays out a good procedure to substantiate valuation of a security.