Compliance Best Practices

Mario Hernandez, CFP®, director of operations at Gemmer Asset Management in Walnut Creek, Calif., shares his firm's cyber P&P related to employee security roles. ...

Unless you happened to be alive in 1918, during the last great global pandemic, all of this is new

Gain tips to help you polish off your new form

Teri McCasland, VP/CCO of SFE Investment Counsel in Los Angeles, shares her draft of her Form CRS

You may not include disclosure in the relationship summary other than disclosure that is required

The SEC has been reaching out to firms to talk about COVID-19

A process for checking billing during your annual review

Look out for traps in nursing home contracts

Industry comments signal an organized campaign to deluge the SEC and steer the regulator away from going through with proscribed compliance due diligence steps

ESG is hotter than ever, and regulators have noticed the trend