Mutual Funds

Budget Season is Nearing an End – Are You Ready for What’s Ahead?

Benjamin Franklin is credited with saying, “You may delay, but time will not.” With only a few weeks left in the year, there is no time to put off completing certain Compliance tasks. Many firms are scrambling to complete their branch exams, mock audits, AML testing, continuing education requirements, looking at tax strategies and compensation… READ MORE

Political Contributions – Managing the Pay to Play Rule

If you live in the United States, it is impossible to avoid the constant chatter about the upcoming Presidential elections. And as the weather warms, the local and state elections are starting to heat up too. It is also a good time for advisors to remind employees of their obligations under MSRB Rule G-37 and… READ MORE

Your CCO Must Be A Strong Leader

Investment advisors, investment companies and broker-dealers must have a Chief Compliance Officer (CCO) to design a compliance program that complies with the rules and regulations that govern your firm. To fulfill their obligation, the CCO needs to be knowledgeable, competent and empowered to do the job. It is vital that your CCO be a leader… READ MORE