| Similar Articles |
|---|
 |
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
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. |
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. |
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. |
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. |
Wall Street & Technology
August 22, 2005
Atul Seth |
Mutual Fund Musts Seven key compliance imperatives that will have a major impact on the mutual fund industry over the next year and suggestions on how firms can meet the challenges posed by the requirements successfully. |
Financial Planning
May 1, 2012
Jennifer Woods Burke |
Gotcha! Audits Get Tougher This year, the SEC and FINRA launched a webinar for firms detailing their expectations and reaffirming that whether a firm is large or small, regulators expect the same level of diligence when it comes to audits. |
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
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. |
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. |
InternetNews
September 15, 2005
Paul Shread |
Technical Analysis: Nasdaq, S&P Hang On The Nasdaq and S&P barely held on to big support numbers. |
InternetNews
August 24, 2005
Paul Shread |
Technical Analysis: Support Gives Way The Dow and S&P are threatening to go into free fall here. |
InternetNews
May 12, 2005
Paul Shread |
Technical Analysis: Indexes Hang On -- Barely The Dow and S&P need to turn up soon; they have pulled back as far as they can without giving up their recent downtrend line breakouts. |
The Motley Fool
March 12, 2004
Rich Smith |
Split Personality at S&P? Reading S&P's stock reports can make an investor see double. |
Financial Planning
November 1, 2007
Mederic Daigneault |
Compliance Assessing risk: Begin by considering what services your financial advisory firm provides and to whom. |
Investment Advisor
February 2008
Papa & Marks |
The New Paradigm Integrating operations and compliance. |
Investment Advisor
February 1, 2011
Thomas D. Giachetti |
2011 Compliance Checklist Ten compliance issues registered advisory firms must consider in the new year. |
CFO
March 1, 2008
Vincent Ryan |
No Cakewalk S&P takes its shot at analyzing companies' ERM practices. Lots of luck, some say. |
Investment Advisor
February 2010
Chester Wright |
Expert's Corner: Small, Yes, But Compliant How smaller RIA firms can shoulder the compliance burden. |
Financial Planning
January 5, 2008
Max Mejiborsky |
Compliance A string of recent administrative proceedings have revealed that recidivism continues to plague the investment advisor community, despite an increased emphasis on compliance and the SEC's Compliance Programs Rule. |
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? |
Bio-IT World
January 12, 2004 |
PDMA Compliance in 12 Steps Prescription Drug Marketing Act violations can cost millions. To save that money, follow this program. |
National Defense
January 2016
Thomas B. McVey |
Executives: Be Wary of Export Regulations One of the important legal requirements facing defense contractors is compliance with International Traffic in Arms Regulations and export controls. |
InternetNews
October 6, 2005
Paul Shread |
Technical Analysis: Stocks Threaten Support Thursday's decline broke more major support levels. |
Registered Rep.
March 1, 2008 |
Bikini Bottoms Move Markets Correlation between S&P 500 and the cover of Sports Illustrated's "Swimsuit Issue." |
InternetNews
April 4, 2005
Paul Shread |
Technical Analysis: Stocks Struggle to Find Support It's not pretty, but the Dow and S&P have a chance. |
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. |
Financial Advisor
October 2004
Chaplin & Giachetti |
Contingency Planning And Rule 206(4)-7 What must a financial advisor do to comply? |
IndustryWeek
January 1, 2007
John Teresko |
PLM Compliance Tips PLM continues to get high marks as a compliance management solution, but it is only a tool and it needs comprehensive backup to meet regulatory objectives. |
Registered Rep.
January 1, 2006 |
60 Seconds With...Grace Vogel An interview with the executive vice president of Member Firm Regulation for New York Stock Exchange Regulation about regulatory duplication and the NYSE's enforcement record. |
Registered Rep.
March 1, 2008 |
Client Complaints: To Report Or Not To Report When a registered rep should report client complaints. |
National Defense
March 2015
James A. "Ty" Hughes |
Rules Issued to Combat Human Trafficking On Jan. 29, the Federal Acquisition Regulatory Council issued its final rule amending the federal acquisition regulations to strengthen protections against trafficking in persons in federal contracts. |
Bio-IT World
January 12, 2004
Steve Lefar |
Systematize Your Regulatory Info! Want better protection against regulation breaches? Build a system that engenders 'grassroots' compliance. |
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. |
Registered Rep.
June 24, 2011
Ed Mason |
Acquiring a B/D? Use This Checklist. Attention early in the process to the unique regulatory concerns impacting broker/dealer M&A will increase the probability of parties successfully navigating a path to closing and, ultimately, a successful acquisition. |
The Motley Fool
September 29, 2004
Selena Maranjian |
Brokerages Become More Compliant New rules aim to keep brokerages on the straight and narrow. |
InternetNews
January 26, 2005
Paul Shread |
Technical Analysis: Bears Remain in Control The Dow and S&P stall at resistance once again. |
Bank Systems & Technology
April 28, 2008
Paul L. Lee |
Integrating Systems Essential to AML and SAR Compliance To follow regulators' requirements, banks must leverage and coordinate compliance, risk management and IT department efforts. |
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. |
InternetNews
September 9, 2005
Paul Shread |
Technical Analysis: Pushing the Highs The S&P neared a four-year high on Friday, as the Nasdaq has become the laggard. |
Insurance & Technology
May 18, 2004
Julie Gallagher |
IT Isn't Tapped for Compliance The insurance industry fails to embrace the full business value of IT when it comes to addressing regulatory requirements and instead relies primarily on manual processes and ad hoc measures |
Bank Technology News
February 2009
Brian Longe |
Customer Satisfaction Begins with a Single Compliance Solution Using a single technology platform to handle all of its compliance needs allows a bank to open new accounts and complete transactions more quickly through the solution's common database structure. |
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. |
Registered Rep.
January 5, 2010
David A. Geracioti |
Fund Manager Leuthold Says Outlook Good for Stocks--at Least in the First Half of 2010 Good and bad news for the S&P 500 this year, according to this fund manager. |
Financial Advisor
April 2004
David J. Drucker |
Living With The Rules How to keep the SEC happy without going out of business. |
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. |
InternetNews
December 21, 2007
Paul Shread |
Technical Analysis: Back to Resistance A strong move by the bulls puts the S&P 500 right back into resistance. |
InternetNews
May 13, 2005
Paul Shread |
Technical Analysis: Bye-Bye Support The Dow and S&P break down, while the Nasdaq takes the lead. |
Registered Rep.
May 1, 2008 |
What Recession? The U.S. may in the midst of a recession, yet analysts' earnings estimates for 2008 are very rosy indeed. |
InternetNews
September 21, 2005
Paul Shread |
Technical Analysis: Dow, Nasdaq On Support The Dow and the Nasdaq have hope, but the S&P breaks down. |
