SEC Hot Topic: Compliance Tips for Evaluating Your Firm’s Advisory Fees and Expenses
2021 IAA Investment Adviser Compliance Conference | March 5, 2021 | Speaker: Michelle L. Jacko, CSCP
Steps Advisers and Investors Can Take to Protect Against Potentially Fraudulent Investments in a Post-Madoff World
Almost 12 years have passed since Bernie Madoff was sentenced to 150 years in prison with restitution of $170 billion for perpetrating an elaborate Ponzi scheme that harmed thousands of clients. Widely regarded as the largest fraudulent investment scandal in … Read More
Timely Takeaways from Zoom’s Consent Agreement with the FTC over Data Management Practices
Firms should take note that information security will remain an area of intense focus this year for the U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (the Division or EXAMS), formerly known as the Office of Compliance Inspections and … Read More
New NASAA Model Rule on Continuing Education Requirements for Investment Adviser Representatives
The North American Securities Administrators Association (“NASAA”) recently adopted a new model rule on Investment Adviser Representative (“IAR”) requirements for Continuing Education (“CE”). The new model rule states any IAR registered under Section 404 of the 2002 Act (or 201 … Read More
Episode 84: New NASAA Continuing Education Requirements for IARs
On episode 84 of the CCO Buzz podcast, we discuss the new NASAA Model Rule on Continuing Education Requirements for Investment Adviser Representatives.
What Investment Advisor Reps Need to Know About New York State’s New Registration Requirements
The Investor Protection Bureau (IPB) of the New York State Attorney General’s office has adopted regulations that took effect February 1, 2021, under which investment advisor representatives (IARs) of both federal and state investment advisory firms must register with the … Read More
Reminder of March 1 NFA Deadline for CPOs and CTAs to Reaffirm Exemption Status
Every new year brings a multitude of filings that compliance officers of financial advisory firms must make to meet regulatory requirements. Among the items on the compliance checklist for those involved in futures trading is the annual need to reaffirm … Read More
Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?
CEO Michelle Jacko‘s article, “Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?,” was published in the February 2021 issue of IAA’s Newsletter. In the article, Michelle discusses the evolving SEC guidance … Read More
NSCP Currents: Why Advisory Fees and Expenses Remain a Continued Regulatory Focus
CEO Michelle Jacko‘s article, “Why Advisory Fees and Expenses Remain a Continued Regulatory Focus,” was published in the January 2021 edition of the National Society of Compliance Professionals’ Currents newsletter.
Considerations for Advancing Your Compliance Program
As the new year begins, there is a great opportunity to enhance your firm’s compliance program and start the year off on a positive note. In this Risk Management Update, we will discuss several recommendations and best practices to consider … Read More