Episode 59: Preparing for Year-End
On Episode 59, we summarize our year end compliance checklist to help ensure all applicable compliance filings and reviews get completed.
Episode 58: Principal Trading & Agency Cross-Transactions
On Episode 58, we discuss investment adviser principal trading and agency cross-transactions.
Episode 57: Is Your Business Continuity Plan Adequate and Effective?
On Episode 57, we discuss the essentials of an effective Business Continuity Plan.
Episode 56: Proxy Voting for Investment Advisers
On Episode 56 , we take a look at the SEC’s release on proxy voting for investment advisers.
Episode 53: Cybersecurity Testing
On episode 53 we discuss a key component of a firm’s annual review – Cybersecurity Testing.
Episode 52: Fiduciary Duty
On episode 52, we talk about the SEC’s issued interpretive guidance on an adviser’s standard of conduct, as mandated under the Investment Advisers Act of 1940.
Episode 51: Filing of Form 13F
On episode 51, we discuss the Filing of Form 13F.
Episode 49: Best Execution – Is Your Review In Line With SEC Expectations?
On episode 49 discuss the frequently cited deficiencies cited during routine exams, surround the importance of best execution reviews.
Episode 48: SAA Certification
On episode 48 we discuss the upcoming SAA deadline for Registered Investment Advisers and Broker-Dealers.