Practical analysis for investment professionals

compliance


10 Rules for Marketing Alternative Funds

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.

Book Review: Modern Compliance Volumes I and II

Modern Compliance is an ambitious undertaking that brings together the myriad complexities of governing the investment professional.

The Regtech Revolution: Compliance and Wealth Management in 2017

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.

Be Your Own Chief Compliance Officer

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.



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