In this ComplianceCast, we discuss policies that set the proper expectations, effective training methodologies, and the use of continual positive reinforcements designed to keep employees on the right path.
According to the Investment Firm of the Future, a report published by CFA Institute earlier this year, 24% of the organization’s…
Global regulators continue to enhance their ability to monitor the activities of market participants through a combination of new rules,…
Global regulators continue to enhance their ability to monitor the activities of market participants through a combination of new rules, filing requirements, and upgrades to surveillance technologies. As a result, many market participants, including both buy- and sell-side firms, need to re-assess how they currently monitor the trading desk, and whether new policies and procedures are needed to effectively manage reputational risk and avoid costly fines.
For compliance officers, obtaining the necessary tools and resources to build an effective compliance program can be costly and difficult…
One of the most important assets a firm can possess is a sterling reputation, and maintaining such a reputation involves…
The Cayman Islands has further bolstered its anti-money laundering (“AML”) and countering of terrorist financing (“CTF”) rules. The new AML/CTF…
The advertisement of investment performance is a critical risk area for private investment fund managers in terms of regulatory compliance…
Most firms have addressed cybersecurity in one aspect or another, thinking a few access controls and anti-virus programs are the…
How much coverage is enough? What types of insurance policies do you need? Whether you are starting an investment advisory…
The SEC’s Custody Rule and its application to registered investment advisers is complicated and often misunderstood, and custody issues remain…
The SEC and FINRA have recently released their examination priorities for 2018. These releases provide insight into regulatory priorities and…