Promoting and Inspiring Ethics and Integrity in a Bottom-Line Workplace

How do you train your staff to be ethical and to promote ethical behaviour throughout the organization? How do you reach busy and difficult employees? In this ComplianceCast, we’ll discuss policies that set the proper expectations, effective training methodologies, and the use of continual positive reinforcements designed to keep employees on the right path. We’ll also discuss ways to measure success in the ethical arena, and discuss best practices for mitigating risk in this key area.

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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

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SEC Proposes Amendments to Advertising Rules

In a proposal that would mark the first changes since 1961, the SEC has introduced amendments to modify the “Advertisements by Investment Advisers” Rule 206(4)-1 of the Investment Advisers Act. Changes to the rule would allow for testimonials and social media practices beyond that currently allowed, and performance marketing subject to new requirements. Some parts … Continued

Roadmap to Conducting Annual Compliance Reviews

The “annual” in annual review is a misnomer! That was one of the key takeaways from a session conducted at the recent 2019 NSCP National Conference that featured practical and timely tips to consider when planning and undertaking an annual review for an investment adviser or mutual fund. Panelists Tracy Abbott, CCO of Seavest Investment … Continued

Technology Advances Here and On the Way for Form CRS

CSS featured a strong presence at the recent 2019 BAM + Loring Ward Advisor National Conference in St. Louis, Mo. The conference, titled “In Our Element,” explored the chemistry of investment advisors’ relationships with their clients and the keys to successfully building those relationships. Within that context, CSS’s compliance presentation outlining the purpose and implementation … Continued