Measuring and Monitoring Risk

Measuring and Monitoring Risk An effective compliance program demands written procedures which demands risk assessment.  The objective is to avoid harm to investors—and to your firm. Here, Jackie Hallihan, Partner and Eugenie Warner, Consultant at Ascendant discuss risk assessment – … Read more

Happy 10 Year Anniversary To The Compliance Program Rule

How Do Your Policies & Procedures Measure Up? The SEC adopted Rule 206(4)-7 in 2004 under the Advisers Act which required each investment adviser registered with the Commission to adopt and implement written policies and procedures reasonably designed to prevent … Read more

Compliance from A to Z

You Name It, We’ll Cover It! Fundamental Discussion of an Effective Compliance Program From the Compliance Program Rule to Supervisory Liability Handling Complaints