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

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

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

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

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

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

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

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

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

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