Compliance Insights

Compliance Reviews

What has changed: New considerations for serving aging clients

As people live longer, healthier lives and more baby boomers approach retirement, the population of individuals 65 and older in the United States continues to increase dramatically. It’s therefore essential that firms be proactive in implementing a thoughtful, dynamic process for serving aging and vulnerable clients.

Regulatory expectations and compliance considerations for the use of cloud services

The adoption of cloud computing continues to rise across all businesses, and advisory firms are no exception. This white paper examines important areas for you to assess when using cloud services. 

Personal trading: Key concepts for compliance professionals

The SEC's emphasis on personal trading practices makes it a top-line area of concern for compliance professionals. This white paper allows you to review highlights of the portion of the Codes of Ethics Rule covering personal trading, learn practical tips for compliance, and assess enforcement cases that have resulted from noncompliance. 

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