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Ethics and Compliance

"Ethics and Compliance" addresses the ongoing development of standards, policies, and best practices for professional financial practice management. Know Your Customer (KYC) and related due diligence process at FA/FM level guide and protect practice managers and customers. Clients and practice managers must discuss process, goals, suitability, costs, risks, and responsibilities related to a successful and ethical/compliant working relationship.

"Hoarding Gold" Was Prohibited by President Roosevelt in 1933
This is an article about the history of individual gold ownership in the United States and Executive order 6102 signed by President Franklin D. Roosevelt in 1933.

Wanted: Compliance Professionals
Compliance professionals are in demand.

Keep In Touch With Current Clients and Get More Referrals
This is a review of AdvisorTLC, a resource used by financial advisors to communicate with current and prospective clients.

Making Hedge Funds And Investment Advisor Firms Safer For Investors
The Dodd-Frank Act promised sweeping financial reform and consumer protection. Dodd-Frank provides for greater enforcement and supervision of hedge funds and investment advisors. Under former state regulation, these firms seldom interacted with regulators. Dodd-Frank requires the employment of compliance professionals. The SEC plans on-site...

Book Review of Liar's Poker by Michael Lewis
This article is a book review of "Liar's Poker" by Michael Lewis. The article mentions "The Big Short," another book written by Michael Lewis. If you're looking for information about Michael Lewis and his books about financial services, you've come to the right place.

Insider Trading Regulations
This is an article about insider trading. If you're looking for information about the laws that define insiders of publicly traded companies' stock, you've come to the right place.

The Dodd-Frank Act Requires Hedge Fund Investments In Compliance and Technology
This article describes the requirements of the Dodd Frank Act to hedge funds in 2011. If you're looking for information about how the Dodd Frank Act changes affect hedge funds, you've come to the right place.

The Dodd-Frank Act Requires Hedge Fund Investments In Compliance and Technology
This article describes the requirements of the Dodd Frank Act to hedge funds in 2011. If you're looking for information about how the Dodd Frank Act changes affect hedge funds, you've come to the right place.

Decoding the SEC Social Media Guidance Update
Staying on top of the changing regulatory landscape is critical to avoiding expensive audits and fines. The SEC recently updated its social media policies, clarifying which types of social media communications do not need to be filed with regulators.

3 Ways to Protect Yourself During Securities Arbitration

Facebook Update Hurts Financial Services Firms
Find out important information about how the Facebook Pages recommendations can affect your firm.

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