Tag: Compliance Manual
Compliance Program Rule, Rule 206(4)-7
Write the Best Compliance Manual Ever!
First published in LinkedIn, December 23, 2015 As part of the annual review of an investment adviser’s compliance program, it’s a best practice to review the regulatory compliance manual to…
Compliance Programs | Training
7 Ugly Truths About Compliance: a Primer for new Chief Compliance Officers
By: Jaqueline M. Hummel, Managing Director February 11, 2016 Many compliance officers live in hope that if they ramp up their persuasive skills, engage employees with spectacular training presentations, and…
Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Examinations and Audits | Records Management | Testing
SEC Exam Impact: Helping Firm Management to Understand the “Value Add” of a Well-Run Compliance Program
By: Jaqueline M. Hummel, IACCP®, AIFA® Managing Director, Hardin Compliance Consulting May 12, 2014 The SEC recently announced an initiative to examine registered investment advisers who have never been subjected…