Examinations: Best Practices

The good news, examiners found, is that some advisers were on top of their ESG regimes. Regulators offer some tips from the best of the ...

The DOE report tips its hat to CCOs, recognizing that “compliance programs, CCOs and other compliance staff play critically important roles at firms” and provides ...

Having P&Ps in place give staff direction, make them feel safer and can mitigate a firm’s risks. However, making a COVID vaccine a condition of ...

The GameStop squeeze, explained

It’s a confirmed best practice to assess how each alert may be relevant to your firm, and to glean best practices or smart actions on ...

Broker-dealer compliance officers have been handed a scoresheet for preparing for SEC exams checking on compliance with Reg BI via a new statement from the ...

Large-volume investment advisers and broker-dealers should take a fresh look at their compliance manuals and policies and procedures to make sure they’re getting right with ...

Lesson: Communicate with the entire team. Some examiners may be left out of the communications chain given they’re all working virtually

You could use this as a template to help track your document production during your next OCIE exam

Keep your documentation of employee compliance training. Examiners asked for it, as well as a list of all principal transactions, cross trades and any loans ...