Compliance Best Practices

It can be tempting to use endorsements given that the SEC’s new IA advertising rule now permits them. But be sure to navigate carefully the ...

"We consider a firm’s efforts to comply with its recordkeeping obligations and to prevent off-channel communications, focusing, for example, on timely adoption of meaningful technological ...

This Risk Alert provides some insight regarding the examination process for funds and includes an attachment outlining the types of documents and information that are ...

Here's what the FinCEN ID application looks like

Click on our most popular stories from October

Here's an example of FinCEN's beneficial ownership reporting form

You wouldn’t be faulted for being among many of us who will celebrate when this election season passes onto the pages of history. But don’t ...

A client asked his adviser to transfer $500,000 to an escrow account for a real estate transaction. If it weren’t for a staffer’s keen eye, ...

If your ESG fund vows to exclude 'fossil fuel' securities, be sure to define what you mean by this phrase

One of the major lessons of this case is listen to your CCO