The Compliance Digest

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

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

Top Eight Client-Inspired System Enhancements

To kick off 2019, we launched a new Quest CE User Advisory Group intending to better communicate with our client network, gather valuable feedback around our products and make improvements along the way. Read More

Tips/Tricks for Managing Outside Brokerage Accounts

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

DOJ Shares How it Evaluates Compliance Programs

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