Have questions on Advertising and Marketing Compliance? Ascendant’s Samantha Addonizio and Peter Guarino take a look at The Rules, Hot Topics & Reviewing Tips for compliance professionals. This complimentary ComplianceCast covers the following topics: Investment Adviser Advertising Rules and No-Action Guidance … Read more
On March 24, ComplianceCast will address the complex Custody topic, tackling practical implications of what circumstances now will constitute custody.
The defense of a CCO’s reputation against liability claims costs significant money, and adds up whether you did something wrong or not, sparking the potential need for an individual liability policy.
The SEC plans to propose the rules establishing a program of third-party compliance assessment in April 2017
A 2013 speech by Stephen L. Cohen, Associate Director of Enforcement of the SEC, highlighted the importance of corporate compliance and ethics. Importantly, the speech set out to explain how a good, effective compliance program can often help a firm … Read more
Guidance, doing the right thing, understanding the regulations and building solid compliance programs are triumphs not just for the regulated firms, but also for the industry and investors alike.
Tone at the Top, Training and Tips How tone at the top can set a healthy compliance culture or render it meaningless. The keys to becoming an empowered CCO. Motivating the workforce to partner in compliance efforts. Successfully integrating technology … Read more
How to prepare employees for the unexpected. What behavioural ethics teaches us about how we act versus how we think we’ll act Why we are required to have a Code of Ethics Case studies to test your ethics barometer Earn … Read more
Unearthing the Cracks in Your Compliance Program Foundation Finding the anomalies in testing Leveraging business units to identify gaps Developing a comprehensive risk inventory Addressing technology fears Providing effective and targeted Compliance training