Articles tagged "compliance"
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Scottrade proclaims itself the 'compliance custodian,' partnering with RIA In a Box and staffing a hotline with ex-regulators
But the mega-custodians are having none of it, saying the initiative is good as far as it goes, but lacks the horsepower to tackle the big questions
December 7, 2012 at 5:01 AM
Beware: RIA privacy breaches aren’t always high-tech
Bellowing that reaches the waiting room is one example of potential confidentiality-breaching behavior
June 20, 2012 at 3:48 AM
PR firms must recognize that RIAs answer to a higher authority
There is such a thing as bad press -- a disclosure that seems 'a bit much' to your public relations firm may be just enough to land you in a compliance hot spot
May 10, 2012 at 5:07 AM
The SEC will often 'tell' advisors what compliance issues deserve attention
The agency has its own ways of communicating what gets on its regulatory nerves
April 9, 2012 at 5:58 AM
Where RIAs should draw the line in rewarding clients for referrals
By expressing your gratitude in a tangible form, you run the risk of turning your client into a solicitor
March 26, 2012 at 5:50 AM
Lost in limbo: How and why compliance officers can seem to thwart RIA marketing efforts
CCOs have valid reasons for poring over the content of any proposed articles coming from their firm -- but they owe you a quick response
February 22, 2012 at 3:52 AM
Why RIA videos are especially fraught with regulatory pitfalls
The productions are expensive so check with the CCO before rolling the cameras
December 5, 2011 at 4:21 AM
Time for chief compliance officers to get tough and get smart, or else
Double-checking, delegating (giving virtual head slaps) and becoming a student of the Investment Advisers Act of 1940 are part of the deal
July 13, 2011 at 1:58 PM
The marketing naughty and nice list
Catchwords and strategies likely to draw regulators' ire -- and others that pass anyone's test
December 23, 2010 at 2:51 PM
MarketCounsel's MailBanc automates away some of the liability risk of instant communications
A web-based email archiving and compliance tool for small to mid-size RIAs
June 29, 2010 at 4:21 AM
The SEC's unannounced compliance exams are growing more common. That means the ‘I’ll-get-to-it’ strategy is an even worse idea than before.
How to test your firm’s readiness
April 28, 2010 at 5:46 AM
LPL Financial wins more breakaway brokers by sacrificing a revenue stream
Morristown Financial Group finds lucrative niche by taking over some supervisory duties from fellow brokers
October 21, 2009 at 4:08 AM
Social media can turn regulatory exam into fiery wreck
Tweeting and Linking in are fair game for sharp-pencilled regulator
