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Investment Advisor August 2006 Thomas D. Giachett	Expert's Corner: A Process, Not a Destination With the advent of SEC Rule 206(4) 7, which requires SEC-registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business, it is more critical than ever for all RIAs to recognize that compliance is an ongoing process.
Investment Advisor July 1, 2011 Thomas D. Giachetti	Are You Prepared for a Regulatory Exam? Learn the steps you need to take to prepare for a regulatory exam.
Investment Advisor June 2009 Thomas D. Giachetti	Expert's Corner: Complacency, Risk and the SEC Often advisors become complacent with respect to compliance, but all RIAs must recognize that compliance is an ongoing process requiring the review/update/amendment of regulatory filings, disclosures, and procedures.
Financial Planning September 1, 2006 Jane Worthington	Accounting for Compliance Instead of viewing compliance as a necessary evil, financial advisors should see it as a cost of doing business and learn how to quantify that cost.
Wall Street & Technology April 14, 2006 Govind Sandhu	Beyond Registration Persistent compliance efforts may be one of the most critical investments in the success of today's hedge funds.
Financial Planning October 1, 2009 Nancy Lininger	What It Takes Compliance is top of mind at many firms today. Here's what makes a great compliance officer, no matter who takes the role.
Wall Street & Technology January 5, 2005 Maria Santos	The Cost of Compliance The U.S. Securities and Exchange Commission has come under scrutiny again following the adoption of a recent rule regarding hedge funds.
Investment Advisor February 2008 Thomas D. Giachetti	Is an IPS the Answer? Investment Policy Statements can be helpful, but remember, longer documents aren't always better.
Financial Planning July 1, 2006 Jane Worthington	Compliance Tips: What Now? John Walsh, of the SEC's Office of Compliance Inspections and Examinations, offered these ten points for post-review discussions to attendees at NRS' Spring Compliance Conference.
Investment Advisor August 2005 Thomas D. Giachetti	Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners.
Financial Advisor April 2004 David J. Drucker	Living With The Rules How to keep the SEC happy without going out of business.
Bank Director 1st Quarter 2010 Ivan Garces	Considering a Bank Acquisition? Don't Forget BSA and AML Considering a potential acquisition? Don't forget to assess the target bank's compliance with the Bank Secrecy Act and Anti-Money Laundering regulations and the impact of the acquisition on your bank's own AML program.
Financial Advisor March 2005 Tracey Longo	The Watchdog Inside Your Firm The SEC is making your chief compliance officer a whistleblower. Advisors' success with regulators in 2005 will depend largely on whether they trip themselves up or are able to create a business model that is better aligned with their clients.
Financial Advisor September 2004 David L. Lawrence	Finding Profit In Written Policies And Procedures The exercise of writing the procedures for a financial practice can reveal ways to trim the process, refine your workflow systems and make things work better in a practice. Freeing up time and that of employee(s) can save money.
On Wall Street November 1, 2012 Mason Braswell	Regulators Cite Trouble Spots Are firms doing all they can when it comes to handling material non-public info?
Investment Advisor March 2006 Melanie Waddell	Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away.
Investment Advisor January 2008	The Compensation Food Chain Performance-based compensation is the future of investment advisor compensation.
Financial Planning October 1, 2005 Lisa Roth	When the SEC Comes Calling Advisers need to prepare for an SEC regulatory inspection this month. Here's why -- and how.
Registered Rep. April 15, 2015 Megan Leonhardt	Regulators Concerned B/Ds Recommending Unsuitable Products to Seniors With seniors more dependent than ever on their investments for retirement, regulators have found a number of broker/dealers may have recommended unsuitable products and not adequately disclosed risks.
Investment Advisor August 2006 Joseph & Barreto	Hedgeworld Hedge Fund Focus: Regulatory Limbo for Hedge Funds Experts say hedge fund advisors who registered with the Securities and Exchange Commission in response to the now-shelved hedge fund rule aren't likely to see examiners on their doorstep anytime soon.
AFP eWire February 26, 2013 Laurie Arena Rocha	Three Things Every Fundraising Professional Should Be Prepared for in 2013 These three things include executive compensation, risk management, and the current government debt reduction debate.
Investment Advisor June 2006 Melanie Waddell	The Playing Field: Masters at the Helm Former SEC chairman Arthur Levitt and past NASD and Nasdaq Stock Market chairman and CEO Frank Zarb have joined a consulting firm's heavy hitters.
Financial Advisor October 2004 Chaplin & Giachetti	Contingency Planning And Rule 206(4)-7 What must a financial advisor do to comply?
Wall Street & Technology September 24, 2007 Melanie Rodier	Large U.S. Firms Getting Better at Managing Risk, But Can Still Improve Large U.S. companies have improved their ability to identify and manage potentially critical business risks, but they still have a way to go, according to a study.
Investment Advisor January 2007 Melanie Waddell	Getting Compliance Help Now If you're one of those financial advisory firms that's still dithering on the sidelines hoping that your compliance program is up to snuff, it's time to get serious. A good place to turn for help is the Regulatory Compliance Association's new CCO University.
Investment Advisor May 2007	Upgrades LaserFiche, the dominant player in the document management business, has launched a campaign to educate RIAs... In early April, Charles Schwab launched three new index funds... etc.
Investment Advisor January 1, 2011 Thomas D. Giachetti	Keeping Political Contributions Compliant A new rule on political contributions by investment advisors may make donations dangerous.
Insurance & Technology August 10, 2006 Maria Woehr	Compliance Automation Responding to growing pressure on insurers to comply with federal regulations such as Sarbanes-Oxley, the Gramm-Leach-Bliley Act, the Federal Information Act and HIPAA, ControlPath launched ControlPath Compliance Suite 3.0.
Financial Planning November 1, 2009 Donna Mitchell	Year-End Review Here are some questions for registered investment advisers to answer while annually reviewing their policies and procedures.
Wall Street & Technology May 30, 2007 Melanie Rodier	Market for Wealth Management Compliance Systems Set to Jump 15% by 2011 Investment advisors are expected to spend the most on technology as they are among the fastest growing and most regulated group of advisors. But hedge funds are also likely to increase IT spending.
Investment Advisor February 1, 2011 Thomas D. Giachetti	2011 Compliance Checklist Ten compliance issues registered advisory firms must consider in the new year.
Financial Planning September 1, 2007 Jane Worthington	Compliance Financial planners and advisors, advertise wisely. SEC examiners regularly find deficiencies in advertisements touting an advisor's performance returns. They recommend routinely using compliance procedures.
Investment Advisor October 2007 Melanie Waddell	Making Compliance Headway Four years after the passage of the SEC's "compliance program rule," advisors are still grappling with exactly what their annual review process should entail.
Financial Advisor November 2009 Bruce W. Fraser	Shifting Landscape A shifting economic environment is also changing financial advisors' practice management world.
The Motley Fool September 29, 2004 Selena Maranjian	Brokerages Become More Compliant New rules aim to keep brokerages on the straight and narrow.
The Motley Fool November 15, 2005	Hedge Funds, Explained While the word "hedge" might conjure up images of investors cautiously hedging their bets, hedge funds are often extra-risky, extra-volatile investment vehicles that demand huge up-front investments, sometimes in the millions.
OCC Bulletin June 30, 2003	Homeownership Counseling The Mortgage Reform Subcommittee of the Federal Financial Institutions Examination Council Consumer Compliance Task Force has developed Homeownership Counseling Examination Procedures.
Financial Planning July 1, 2006 Dan Wheeler	Hedge Funds, Unplugged Take the buzz out of the hedge fund phenomenon, and you may find less electricity than you think.
OCC Bulletin December 14, 2005	Small Entity Compliance Guide This compliance guide summarizes the obligations of financial institutions to protect customer information and illustrates how certain provisions of the Security Guidelines apply to specific situations.
On Wall Street April 1, 2013 Kenneth Corbin	SEC Zeros In on Potential Conflicts of Interest The regulator's staff will investigate nondisclosures, misrepresentations, and more.
OCC Bulletin March 30, 2006	Controlling the Assault of Non- Solicited Pornography and Marketing Act of 2003 (CAN-SPAM) The Federal Financial Institutions Examination Council's Task Force on Consumer Compliance approved interagency consumer compliance examination procedures for CAN-SPAM and FTC regulations pertaining to sexually oriented materials.
On Wall Street April 1, 2011 Alan J. Foxman	The Whole Truth Advisor Q&A: Disclosure of conflicts of interest... Clients testimonials as advertising... Advisor representatives and outside business activities... Form ADV on a CD... Qualifications needed on Form ADV...
Wall Street & Technology January 4, 2004	Do Not Call Compliance Each infraction, that's one sales call to a number listed on the Do Not Call list, can cost your firm up to $11,000.
Financial Advisor February 2007 Thomas M. Kostigen	Firm Offers Reps Their Own Hedge Funds Independent broker-dealer First Allied's program raises questions about risk and conflicts.
Bank Technology News January 2006	Better Info Security Driven By Regulatory Compliance If information security is to become a strategic priority, then banks can start by reviewing existing practices -- their own and that of those companies with which they do business.
Investment Advisor October 2006 Melanie Waddell	A Boon For Hedge Funds? The new Pension Act makes it easier for pension funds to invest in hedge funds.
On Wall Street September 1, 2010 Allan Flader	Why Risk It? Don't judge, just advise. That has always been one of our mantras as we've developed strong relationships with our clients over the years.
OCC Bulletin July 18, 2001	Examination Procedures Examination procedures to evaluate compliance with the guidelines to safeguard financial institution customer information...
Investment Advisor August 2008 Thomas D. Giachetti	The Three Troubling Themes How to combat compliance misunderstanding and misdirection.
Pharmaceutical Executive October 1, 2005 Andy Bender	Orchestrating Compliance Product managers at pharmaceuticals are not always happy to see their compliance officers. That may be changing.