This article will breakdown the rule as it affects the employee, the member firm and the external financial institution while explaining how third party vendors can help simplify the outside account management process. Read More

When designing a compliance and ethics program, organizations want one that not only will prevent, find and fix problems, but also one that will meet the US Department of Justice’s stringent standards if an incident occurs. To help firms do this successfully, the DOJ recently released, quite exactly, what it considers when evaluating the effectiveness of a company’s compliance program. Read More

At Quest CE, we’re big believers in having great reports. Organizing your data in a way that allows you to see what’s important at the time you’re looking at it, is crucial for compliance. To help aid in this process, we wanted to share some of our favorite system reports, show you where to find them and explain what makes them so valuable. Read More

For the seventh consecutive year, SplashData announced its annual "Worst Passwords List," highlighting the insecure password habits of today's internet users. Once again, "123456" and "password" maintained top positions in the number one and two spots, while "starwars," held onto the number sixteen spot as the movie, Star Wars: The Last Jedi was released. Seems as though people drew inspiration from a galaxy far, far away to protect their data. Read More

In today’s connected world, nobody simply “wants” easy access to helpful information. We demand it. Heck, we expect it. That’s why we’re excited to add a Knowledge Base Center to our compliance management system, Renaissance. Read More

This article walks you through great tips on how to prioritize work and meet those end-of-year compliance deadlines. Read More

For many of us, New Year’s resolutions are grandly made and easily broken. Why? Because a resolution is just that – a decision. To make actual change in your personal or professional life, you need a lot more than a decision, you need a plan. Read More

In today’s world of information overload, you need to grab your readers’ attention by making your communication “stick.”  This is especially important in our industry, where the follow through on certain communications can be the difference between compliance and non-compliance. To help out, consider the following key points to make your communications more effective and “stick” with its intended audience. Read More

Approaching updates with a “housekeeping” frame of mind can help your organization make the minor adjustments it needs to meet any new requirements. Read More

Last week, the SEC’s Office of Compliance Inspections and Examinations released a Risk Alert announcing an upcoming examination initiative that focuses on the supervisory practices of SEC-registered investment advisers and how they monitor advisory personnel in disparate branch locations. Read More