Author: Dan Haynes

Have you been through a regulatory examination recently? If not, take heed, your time might be coming. Without even looking…

Are you tired of spending hours opening envelopes, stapling statements together, logging the receipt of statements in a spreadsheet, and…

This year more than ever, it’s a time for renewal and optimism. As compliance professionals, we have completed our reviews…

Throughout my career, I’ve never heard a business leader say compliance isn’t important. Time and again, through countless conversations and…

We’ve all been there before…you get a request to review marketing materials, and there’s urgency to it. Great! You’ve successfully…

Over a year ago, OCIE released the Risk Alert, “The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations…

We live in a world filled with dramatic change on a scale we’ve never seen before. The speed and magnitude…

When it comes to advertising, processes, procedures, and disclosure matter. Not everyone in a firm will understand the importance of…