The Compliance Digest

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

The 25 Worst Passwords of 2017

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

Quest CE Releases Online Knowledge Base Center

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

Halfway Through the Year, Halfway to Compliance?

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

How to Keep Your Compliance Resolutions

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

How to Make Your Compliance Message “Stick”

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

Spring Cleaning – Your Master Compliance Checklist

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

SEC Releases Risk Alert on Investment Adviser Exams

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

Five Must-Hear TED Talks for Compliance Professionals

While many of these talks are not directly tied to compliance, they share knowledge on a widespread range of relatable topics, including why people lie/cheat, password security and effective communication best practices. So relax, tune in and add an extra shot of continuing education to your workday! Read More

AML Regulation: What FINRA is After

In a speech at the SIFMA AML and Financial Crimes Conference earlier this month, FINRA’s Executive Vice President of Enforcement, Bradley Bennett, reminded firms of the fundamental characteristics that make up a strong AML program, citing several recent enforcement cases to help drive home his point. Bennett centered his discussion on culture and risk most specifically and how focusing on these areas can help firms better prepare for today’s AML challenges. Read More

Is Complete Compliance Possible?

In Homer’s epic poem, the Odyssey, Odysseus and his crew are faced with the impossible choice of either sailing closer to Charybdis, a whirlpool capable of sinking their entire ship, or alternatively, to Scylla, a sea monster equally as fatal. Odysseus’ dilemma sprang to mind the difficult decisions compliance officers face every day, sometimes being forced to choose between the lesser of two evils. Read More