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Compass Compliance Services, LLC Michelle Kennedy Michael Henry SEC Compliance Reviews
Compass Compliance Services, LLC Michelle Kennedy Michael Henry SEC Compliance Reviews
Compass Compliance Services, LLC Michelle Kennedy Michael Henry SEC Compliance Reviews

Compass Compliance Services, LLC Michelle Kennedy Michael Henry SEC Compliance Reviews

Articles

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

Compass Compliance Services does not provide legal, tax, accounting or financial services.