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 — 5:01 AM UTC

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 — 3:48 AM UTC

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 — 5:07 AM UTC

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 — 5:58 AM UTC

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 — 5:50 AM UTC

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 — 3:52 AM UTC

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 — 4:21 AM UTC

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 — 1:58 PM UTC

The marketing naughty and nice list

Catchwords and strategies likely to draw regulators' ire -- and others that pass anyone's test

December 23, 2010 — 2:51 PM UTC

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 — 4:21 AM UTC