Articles containing quotes by Compass Consultants:

2016 December, A rundown of hot topics being displayed in recent SEC exams
Published by IA Week (www.iawatch.com) 888-234-7281

2016 May, Digging around your trading data makes your portfolio management oversight easier.
Published by IA Week (www.iawatch.com) 888-234-7281

2016 February, Save time and gain ideas for your annual review based on what your peers are doing.
Published by IA Week (www.iawatch.com) 888-234-7281

2015 June, Zeroing in on when a one-on-one presentation becomes an advertisement.
Published by IA Week (www.iawatch.com) 888-234-7281

2014 November, How to handle gifts and entertainment when there’s no regulatory standard.
Published by IA Week (www.iawatch.com) 888-234-7281

2014 April, Debate, if you wish, whether pitchbooks are ads but best practices suggest review them.
Published by IA Week (www.iawatch.com) 888-234-7281

2013 November, A good compliance test: Can your vendor rapidly share records requested by the SEC?
Published by IA Week (www.iawatch.com) 888-234-7281

2013 May, Too early for results of 'presence exams' but edge goes to those that support compliance
Published by IA Week (www.iawatch.com) 888-234-7281

2012 December, Common deficiencies cited in SEC exams of IAs revealed
Published by IA Week (www.iawatch.com) 888-234-7281

2012 September, The Basics of Performance Advertising by Michelle B. Kennedy, President, and Michael K. Henry, Principal, Compass Compliance Services.
Published in IAA Newsletter September 2012

2012 September, Compliance actions to help stem the pressure to push for higher returns
Published by IA Week (www.iawatch.com) 888-234-7281

2012 September, Compliance can save a firm trouble by checking answers provided on DDQs/RFPs
Published by IA Week (www.iawatch.com) 888-234-7281

2012 July, Despite 'old rules,' firms can plumb social media in compliant ways
Published by IA Week (www.iawatch.com) 888-234-7281

2012 March, Your approach to seeking best execution can vary
Published by IA Week (www.iawatch.com) 888-234-7281

2011 March, Best practices offered for hammering out an impressive annual review
Published by IA Week (www.iawatch.com) 888-234-7281

2011 January, Have and use a system to oversee your firm's marketing efforts
Published by IA Week (www.iawatch.com) 888-234-7281

2011 January, Swapping best practices for keeping an eye on the trading desk
Published by IA Week (www.iawatch.com) 888-234-7281

2010 November, Making sure your compliance process fits your firm
Published by IA Week (www.iawatch.com) 888-234-7281

2010 June, Compliance pros reveal best practices for when a client virtually disappears
Published by IA Week (www.iawatch.com) 888-234-7281

2009 November, Strategies to combat the perennial demon of insider trading
Published by IA Week (www.iawatch.com) 888-234-7281

2009 April, Grade these ideas for annual review tests from your peers
Published by IA Week (www.iawatch.com) 888-234-7281

2009 February, Enliven training around your gifts and entertainment policy with examples
Published by IA Week (www.iawatch.com) 888-234-7281

2009 February, Suggestions to improve your approach to compliance program
Published by IA Week (www.iawatch.com) 888-234-7281

2009 January, Actions that can confirm claims of trade orders or uncover bogus ones
Published by IA Week (www.iawatch.com) 888-234-7281

2009 January, More regulations, a growing regulator and other big changes likely in 2009
Published by IA Week (www.iawatch.com) 888-234-7281

2008 October, Your e-mail vendor should store your retention preferences
Published by IA Week (www.iawatch.com) 888-234-7281

2008 July, Make these five areas the foundation of your annual review
Published by IA Week (www.iawatch.com) 888-234-7281

2007 May, CCOs taking creative approaches to train staff on compliance programs
Published by IA Week (www.iawatch.com) 888-234-7281



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