Top SEC Exam Deficiencies
By Scott on February 29, 2016 in Regulatory Environment
The assistant director of the SEC’s Office of Compliance, Inspections and Examinations (OCIE) …
Random Friday Musings
By Scott on February 26, 2016 in Compliance
Ahhh Friday – the perfect day for a random assortment of insights. …
FAQs: Annual Review
These FAQs are part of a series of frequently asked questions that …
CCO Companion Heads to Launchpad
By Scott on February 22, 2016 in Countdown to Launch
Forgive the self-serving nature of this post, but today CCO Companion was …
Custody – Inadvertent Receipt
By Scott on February 19, 2016 in Compliance
In the post-Madoff years, custody has been the primary focus of SEC examiners. No big …
FAQs: Social Media
These FAQs are part of a series of frequently asked questions that …
3 Things You Can Do Right Now To Improve Your Compliance
By Scott on February 15, 2016 in Compliance
At times the demands of compliance can be too much to digest. To …
No Shortcuts
By Scott on February 12, 2016 in Regulatory Environment
I can always tell when a big investment adviser conference has recently concluded (in …
FAQS: Identity Theft Red Flags Rule
These FAQs are part of a series of frequently asked questions that …
SEC to Bring Back Prohibition?
By Scott on February 8, 2016 in Regulatory Environment
Let’s hope not, because some of the things the Commission does makes …
When is 0 greater than 36?
By Scott on February 5, 2016 in Countdown to Launch
When zero is the number of the 36 SEC Enforcement Actions issued …
FAQs: Books and Records
These FAQs are part of a series of frequently asked questions that …
Sneak Peak
By Scott on February 1, 2016 in Countdown to Launch
You have probably heard us say once or twice (okay, maybe a dozen …
