Navigating Risk & Regulations
Navigating Risk & Regulations

Compliance Insights

Access compliance commentary from some of the industry’s leading consulting firms and attorneys. Clients can use their Schwab Advisor Center® credentials to download full white papers.

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Practical cybersecurity for advisors: Keeping up with the evolution of best practices

Cyberattacks are increasing in both volume and sophistication, and keeping a firm’s risk controls up to date as these threats evolve is an ongoing and costly challenge. Some of the most useful guidance regarding cybersecurity policies and infrastructure comes from regulators, including FINRA, the SEC, the CFTC, and the states. Through their periodic regulatory exams, they identify cybersecurity best practices and publish them for investment advisors in reports and risk alerts. This information can help firms develop cybersecurity safeguards, including sound policies and procedures, the right technology, and effective testing.

The latest Compliance Review from Schwab explores practical cybersecurity for advisors and the evolution of best practices.

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Compliance Reviews

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    Pandemic puts business continuity plans to their ultimate test

    As the coronavirus pandemic has made clear, having a well-crafted business continuity plan can be critical to a firm's ability to maintain stable operations while continuing to provide quality service to clients. The pandemic is likely to lead to more intense regulatory scrutiny of how advisory firms have prepared to navigate through disruptive events in general, including natural disasters and cybersecurity attacks.

    The latest Compliance Review from Schwab explores some of the building blocks of an effective business continuity plan.

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    Practical guidance for complying with new Form CRS requirements

    The Securities and Exchange Commission (SEC) adopted new rules requiring broker-dealers and SEC-registered investment advisors to prepare and file a client relationship summary ("Form CRS") by June 30, 2020. This white paper offers detailed, practical guidance to help you complete, file, and deliver Form CRS so you can fulfill the SEC's new requirement.

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    Advisor Transitions: Avoiding the Legal Pitfalls

    When an advisor leaves one firm and joins another, post-employment obligations may interfere with a smooth transition. A former employer may claim damages on the basis of many kinds of documents that governed the advisor's employment. Conflicts, especially those related to client information, may even invite regulatory scrutiny. A successful transition requires careful planning to protect each firm's business interests.

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