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.

Featured topic

Strong controls, lower risk: How a robust compliance program can protect your firm and clients

The risks that advisors face may continually change over time, but the fundamental requirements applicable to an investment advisor remain the same. A strong compliance program designed around operational, regulatory, and compliance risks and focused on identifying and addressing conflicts of interest will go a long way in protecting an investment advisor, whatever the environment.

The latest Compliance Review from Schwab focuses on six compliance risk areas important for all advisors to address.

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Compliance Reviews

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

    Some of the most useful guidance regarding cybersecurity policies and infrastructure comes from regulators, including FINRA, the SEC, the CFTC, and the states. This information can help firms develop cybersecurity safeguards, including sound policies and procedures, the right technology, and effective testing.

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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.

     

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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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  • Insights for advisors

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