Core Compliance Blog Spotlight

Failure to Supervise Third Parties: AXA Advisors, LLC Sanctioned by FINRA

In early May, the Financial Industry Regulatory Authority (FINRA) announced fines levied against AXA Advisors, LLC (AXA), a company that sells and services group annuity contracts for employer-sponsored 401(k) retirement plans through an affiliated life insurance company. Read More
Core Compliance Blog Spotlight

Social Sentiment Investing Tools: SEC Issues Investor Bulletin

Apart from the traditional sources of information investors use to gather information about their own investment decisions, such as analyst estimates, news stories, and other indicators of market volatility, investors lately have been utilizing social sentiment tools. Read More

Annual vs Other Than Annual Form ADV Amendments 

March 14, 2018

With the recent updates to the requirements for Form ADV, many firms are wrapping up the preparation for their Form ADV Annual Amendment filing. 

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Standing Letters of Authorization (SLOA), the SEC Custody Rule, and Form ADV

March 07, 2018

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 1 – the amount of assets and the number of clients for which they’re deemed to have custody. 

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Don't Procrastinate - Start Preparing to File the Newly Amended Form ADV Today

February 07, 2018

While it’s still early in the year, it’s easy to continue to push the Form ADV annual amendment to the side. However, with these new changes, a firm that doesn’t prepare now is setting itself up for potential penalties or worse down the road.

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How to Get Started On Your Form ADV Annual Amendments

January 10, 2018

On October 1, 2017, the SEC updated and expanded the information required in the Form ADV, which means that if your fiscal year ended on December 31, 2017, it’s time for you to start thinking about your annual Form ADV amendment, which for many of you, will be your first time dealing with these...

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5 Types of Documentation You Should Be Reviewing Annually

December 14, 2017

With 2017 rapidly coming to a close, you’re probably thinking about Christmas and your end of year vacation. You also may be putting the last touches on your company’s annual review. The Securities and Exchange Commission (“SEC”) has required advisory firms to conduct annual reviews since the...

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Annual Reviews: Suggestions for Compliance Best Practices

December 06, 2017

Annual reviews are a necessary “evil”, something that needs to be done at least once every year or even more often. Some firms conduct reviews every quarter, rather than just once a year.

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Why Those Free to Download Annual Compliance Review Checklists Aren’t Good Enough

November 22, 2017

It’s tempting, I know, to want to search online for a compliance review checklist you can simply download for the required annual review.

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3 Common Mistakes Investment Advisory Firms Make When Maintaining Compliance Programs

November 16, 2017

Regardless of size,  investment advisers need to be aware of some common, and avoidable, mistakes that are often made when maintaining  compliance programs.

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Top 4 Tips for Getting the Most Out of IA Compliance: The Full 360 Degree View West

October 16, 2017

The first CCLS/ IA Watch Conference is taking place this November 2nd, just a few short weeks away.

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What Investment Advisers Need to Know About the SEC’s New Risk Alert

September 21, 2017

Last week, the Securities and Exchange Commission’s (“SEC”)  Office of Compliance Inspections & Examinations issued a new Risk Alert titled, "The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers" which was generated as a result of a recent...

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