Compliance Policies & Procedures

Fast-developing standard of 'meaningful, close relationships' put PE advisers on notice

The Biden Administration is urging corporate leaders to review their firms’ cybersecurity protections after another breakout of damaging ransomware attacks. “The most important takeaway from ...

Infinity Q case checks several SEC boxes

This is Janus Henderson Investors' best execution policy

A peer shares the RIA's compliance manual, complete with numerous P&Ps

A peer shares an example of a policy and procedure for advertising, sales and marketing

Advisor Armor, a cybersecurity consulting firm in Scottsdale, Ariz., gives RCW permission to share its acceptable use policy for bring your own devices to work

A CCO peer shares the table of contents from the advisory firm's compliance manual

John Brennan, head of technology at Highfields Capital Management in Boston gives us permission to share his IS policy as reprinted in the book, The ...

Would-be SEC chairman Gary Gensler had a fairly sunny day of it at his Senate confirmation hearing, but there was a brief rumble that, for ...