Compliance News

September Newsletter

In this issue:

The Trend is Your Friend: 1

Cross Trades Make Examiners Cross If Not Handled Compliantly: 2

Much Ado About Supervision: 4

Guest Article: 6

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August Newsletter

In this issue:

Positive Word of Mouth Gives Firms a Leg Up on the Competition: 1

Testimonial Rule Is Alive and Well for Now: 2

CDD Refresher: 5

Upcoming Events: 7

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July Newsletter

In this issue:

CCOs Juggle Numerous Responsibilities at Advisory Firms: 1

Lessons Learned from Investment Adviser Association Testing Survey: 2

New ETF Rule Changes Proposed to Enhance Competition: 5

Private Placements Sales Spike: 6

Upcoming Events: 8

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June Newsletter

In this issue:

Changes in SEC’s Philosophy Should Not Alter Your Approach to Compliance: 1

SEC’S New Enforcement Philosophy Won’t Protect Advisers from Compliance Violations: 2

My PCAOB Audit Costs What?: 5

Guest Column: 6

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May 2018 Newsletter

In this issue:

There’s No Way to Put a Positive Spin on
Noncompliance: 1

Risk Alert Provides Overview of the Most
Frequent Advisory Fee and Expense
Compliance Issues: 2

FINRA Proposes an Enlightened Approach to
Outside Business Activities and Private
Securities Transactions – Rule 3290: 4

Guest Column : 7

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