September 3, 2020 Compliance Culture in a Bottle What makes one firm – and the various professionals who represent it – live and breathe by the book, while…
June 25, 2020 Keep Your Eye on the Prize For ERISA plan fiduciaries who thought they were being responsible and addressing participants’ demands by including investments in employee retirement…
June 24, 2020 FINRA Enhanced Security Features for Super Account Administrators (SAAs) and Account Administrators (AAs) FINRA recently deployed a new security feature for users of the Web CRD and IARD systems which is being rolled…
August 20, 2019 Effective Compliance Policies & Procedures and Annual Reviews: Meeting the Reasonably Designed Standards Sometimes it seems that enough is never really enough. While compliance officers have grown intimately familiar with SEC Rule 206(4)-7…
May 7, 2019 Refreshing the Annual Review Process to Address Business and Regulatory Risks Rule 206(4)-7 requires each registered adviser to review its policies and procedures no less frequently than annually, to determine their…
April 25, 2019 Compliance 2.0 – Being a Strategic Partner in Your Firm Compliance as a profession continues to evolve. With Enron, Bernie Madoff and numerous other failures paving the way for rulemaking…
April 23, 2019 Big Data Part III: Preparing for the Future of Global Regulatory Governance United States and European Union reporting requirements imposed on investment managers have exploded since the Global Financial Crisis and, with…