Compliance Insights

Compliance Reviews

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. 

Custody: New SEC guidance offers more clarity

These resources are designed to summarize the SEC guidance and the Custody Rule and outline concrete steps you can take to review, consider, and solve custody issues. 

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Insights for advisors

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