Episode 12: P & P Manuals and What to Know in Compliance for Q2
Michelle Jacko, CEO of Core Compliance and Legal Services, is back this week to talk about Policy and Procedure Manual updates, and why you should be considering them now in Q2.
2018 Investment Adviser Compliance Conference – Discussions with the SEC
The Core Compliance team recently returned from the IAA National Conference, which took place in Washington, DC, on March 15 & 16. We had the pleasure of attending two packed days full of discussions, which were kicked off by … Read More
Episode 11: Recapping the 2018 IAA Investment Adviser Compliance Conference
This week we discuss the highlights of the 2018 Investment Adviser Compliance Conference, with the hot topics on everyone’s mind as well as the most popular sessions of the conference.
Resources for Compliance Professionals – Your 2018 Guide
This year, the Securities and Exchange Commission’s (“SEC’s”) Office of Compliance Inspections and Examinations (“OCIE”) issued their annual examination priorities update in February. The examination priorities were in a new brochure format, with a distinct section covering the five main … Read More
IAA Compliance Conference 2018: Effective Strategies and Best Practices
Speaker: Michelle Jacko
Annual vs Other Than Annual Form ADV Amendments
With the recent updates to the requirements for Form ADV, many firms are wrapping up the preparation for their Form ADV Annual Amendment filing. Most firms should have spent the last few weeks gathering specific data points to address the … Read More
Standing Letters of Authorization (SLOA), the SEC Custody Rule, and Form ADV
On the Form ADV, there are two sections where a firm must declare whether or not they have custody, and if so, how much custody the firm has. Specifically, this is a part of Item 9 of Form ADV Part … Read More
Form ADV Tips: What You Should Think About Before Filing
Registered investment advisers (“RIAs”) that have a fiscal year-end of December 31st are currently faced with the impending deadline of March 31st for filing their annual amendment to Form ADV. While in the past RIAs may have begun reviewing their … Read More
Webinar Recap – Form ADV: Practical Tips on Completing the Newly Revised SEC Registration Form
On January 24, 2018, two of our compliance consultants presented an hour-long webinar on the revised Form ADV. They will be providing additional insight and knowledge throughout the presentation. The webinar included a deep dive into additional categories related to … Read More
Form ADV: Practical Tips on Completing the Newly Revised SEC Registration Form
Since the new Form ADV compliance requirements came into effect on October 1, 2017, many investment advisers are still unsure as to what information they’re required to update and which part of the Form ADV they need to focus on.