The Compliance Digest

Get expert compliance tips and up-to-date regulatory news.

Are you Due for a Mid-Year Compliance Check-Up?

As you enter the second half of the year, now may be as good of a time as ever for your team to conduct a mid-year compliance check-up to identify any areas that need attention. Need a little inspiration? Here are five focus areas we don’t see falling off your compliance radar any time soon, but especially for the remainder of 2021.   Read More

Four Takeaways from our Exam Priorities Webinar

Joined by Foreside Financial Group’s, Myles Blechner and Ginny Voos, Quest CE hosted a webinar to discuss some of the challenges compliance officers and firms faced in 2020, as well as some of the top takeaways from this year’s examination priorities letters. Here are some of the top takeaways from the presentation. Read More

Celebrate Data Privacy Day with these Six Courses

Data Privacy Day aims to bring awareness to the general importance of privacy and serve as a reminder to organizations that privacy is an essential element for conducting business. As important as data privacy is, we thought we would honor the day by sharing some of our top privacy awareness and data protection courses. Read More

Three Pro Tips for the MLB’s New Compliance Officers

What lessons can we bestow on the MLB's new compliance officers? In this article, we share several truths to running a successful compliance program. Read More

SEC Highlights Risks to Firms Due to COVID-19

The SEC has issued a risk alert on the COVID-19-related risks, issues, and challenges faced by investment advisors and broker-dealers. Read More

DOJ Edits Guidance for 2020 Compliance Programs

This article summarizes the DOJ's recently edited “Evaluation of Corporate Compliance Programs” (2020 Guidance). Read More

Tips to Maintain a *Remote* Culture of Compliance

In this article, we offer three tips to strengthen the foundation of your culture of compliance, while working remote. Read More

California Releases “Redlines” to CCPA Regulation

California’s attorney general has released “redlines” to its Consumer Privacy Act, which holds an enforcement date of July 1, 2020. Read More

How to Prepare for California’s Consumer Privacy Act

The California consumer privacy law takes effect on January 1, 2020. In this article, we discuss who it affects, key provisions of the act and ways your firm can prepare. Read More

10 FAQs on How to Handle Customer Complaints

In this article, we’ll highlight some frequently asked questions when it comes to identifying and reporting customer complaints. Read More