Topic Compliance Testing
Get our tips and insights to improve your firm's compliance testing and prepare for an SEC exam.
Compliance Testing Programs for Small & Medium Firms: Part 1
I had the good fortune to participate in a compliance panel with esteemed adviser CCOs in which we shared our lessons learned about building and maintaining effective compliance testing programs from top to bottom.
Business Continuity Planning: A Real-World Test
Ever since the SEC and other regulatory bodies (i.e., FINRA) identified the possibility of “significant business disruptions” many years ago and mandated that registrants create, maintain, and test a Business Continuity Plan (“BCP”), these plans have rarely been taken very seriously until they are needed.
10 Tips to Avoid Pay-to-Play Restrictions
Get our 10 useful tips for evaluating your investment advisory firm’s pay-to-play policy.
SEC Provides Conditional Relief to Investment Advisers and Investment Companies Impacted by Coronavirus, but Should You Use It?
The SEC is recognizing that limits on travel, reduced personnel, and other business disruptions as a result of the coronavirus may cause delays in meeting regulatory filing deadlines and other regulatory obligations.
Compliance Testing Programs, Part 2: The Bottom-Up Approach to Building Your Compliance Program
In part two of our panel recap where we discussed compliance testing programs for small and medium-size firms, we zero in on the foundation.