Policies and procedures (P&P) are the foundation of a compliance program. Compliance risk immediately goes up when policies don't keep up with business changes. Get our expert P&P advice below.
Improvements to Joot Documents and Policy Manual
Struggling to manage compliance documentation and employee certifications? See how our recent redesign of Joot Documents and Policy Manual simplifies the process.
Top 5 Highlights of the New DOL PTE 2020-02 Requirements
Wondering how the new DOL PTE 2020-02 requirements apply to investment advisers already acting as fiduciaries? Read on.
Reality Check: Hypothetical Performance and the New SEC Marketing Rule
Need help understanding what types of hypothetical performance are permitted by the new SEC marketing rule? Read on.
How I Found the Easy Way to Create a Policies and Procedures Manual
Struggling to maintain and implement a policies and procedures manual that's specific to your RIA business? Get help here from our special guest author.
Crunch Time: 10 Tips to Completing Your Form CRS
With every new regulatory policy or form, the first time implementing it is always challenging. There are no models to follow or examples to guide you. Fortunately for our readers, we’ve cleared away some of the high brush to give you a clearer path.