compliance
The latest regulatory developments and the current state of SEC examinations, among other topics, will be front and center at the GIPS Standards Conference in Chicago.
How can compliance teams earn employee buy-in, encourage software adoption, and lower their firm’s risk?
Unforced errors in their advertising can undermine the credibility alternative asset managers work so hard to build. These 10 guidelines can help prevent such mistakes.
Modern Compliance is an ambitious undertaking that brings together the myriad complexities of governing the investment professional.
The application of artificial intelligence (AI) and other new technologies to regulatory compliance issues has a name: regtech, or regulatory technology. And it will be a key theme in wealth management in 2017, says April J. Rudin.
Finance professionals are now entrusted with a higher standard of care, and staying up-to-date on the myriad compliance rules and best practices can be a tall order. Marc L. Ross, CFA, has some suggestions to help you succeed in your compliance efforts.