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Thursday, February 11 2021

News

Preparing for Regulation Best Interest Exams in 2021

As 2021 starts, we’ve experienced almost a full year of living in a pandemic. Work processes have hopefully streamlined and improved, as you’ve developed ways to work around social/physical distancing... [...]

Thursday, January 28 2021

Checklists News

A Quick Guide to Preparing for Your Next Compliance Review

You’ve heard it a lot…2020 was challenging. Many of us were working in new ways, using new platforms, or building new processes. Some of us moved from corporate offices with... [...]

Monday, January 25 2021

IA Compliance News

Modernized Marketing Rule for Investment Advisers

On December 22, 2020, the SEC announced the Modernized Marketing Rule’s finalization for investment advisers. These rules were developed under the Investment Advisers Act of 1940 and have not been... [...]

Tuesday, January 5 2021

AdMaster Integrations News

Why an Integrated Process for Advertising Compliance Review Matters

When you’re choosing a new ad compliance software, there are plenty of questions you should be asking to ensure you’re getting the best fit for your organization. In fact, we’ve... [...]

Friday, December 11 2020

BD Compliance IA Compliance

Make Sure Your Written Supervisory Procedures/Compliance Manual Is In Great Shape

One item regulators focus on during almost every audit process is the written supervisory procedures/compliance manual. With this in mind, you’d think having these guidelines in tip-top shape would be... [...]

Monday, October 26 2020

BD Compliance IA Compliance News

Why Online Isn’t the End-All, Be-All for Your Due Diligence Research

When your team is working through the due diligence process, it can be time-consuming. The internet can feel like a godsend, a place where you can access a great deal... [...]

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Preparing for Regulation Best Interest Exams in 2021 - sec