Home Examinations: Best Practices

Examinations: Best Practices

Checks and balances baked into your due diligence efforts can help eliminate the risks of missing something. If a potential business partner passes the first ...
Insurance from the Securities Investor Protection Corporation is really a scam. The SEC can't be trusted to protect investors. And investors who want to avoid ...
One way a firm can attempt to reverse the agony of this economy is by creating a new business line. One RIA has decided to ...
Some of your peers use weekly lunches, monthly reports and even chance meetings in the hall to discuss compliance issues with senior management. However you ...
The SEC doesn't require you to disclose that your firm's e-mails may be monitored, but this could be seen as a best practice. We recently ...
That controversial tactic by SEC examiners to reach out to clients during exams and ask them about the safety of their assets may have staying ...
By now you've heard about the Evergreen Investment Management case and the SEC's settlement with the Boston-based firm for more than $40 million. But perhaps ...
Satisfying the SEC when it comes to valuation begins with having policies and procedures that are consistent and take into account contingencies, but the job ...
Examples of a quarterly report of personal securities transactions and a personal trading quarterly report form courtesy of Robert Lavigne at GW & WADE in ...
Responding to an RFP by stating that your firm's most recent SEC exam ended with "no material weaknesses or deficiencies" could be misleading and violate ...
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination