BEST PRACTICES FOR COMPREHENSIVE COMPLIANCE MANAGEMENT

Rigorous regulatory examinations, significant sanctions, and hefty fines highlight the very real focus regulatory bodies like the SEC and FINRA have placed on ensuring Investment Advisers and Broker-Dealers have a comprehensive compliance program that covers not only employee behavior and actions, but also firm compliance matters.  

And while you’ve likely done your due diligence, established a comprehensive support structure, and aligned your team to enable efficiencies within your day-to-day, even one wrong move can result in a costly blow to your firm.  

However, armed with a few best practices, tactical insights, and proactive strategies, you can ensure your firm stays on the right side of the regulator. We've worked with thousands of customers and aggregated some of our best tips and tricks to help you stay at the forefront of the industry.