Blog
Maryland has joined Mississippi and Vermont on a growing list of state jurisdictions using January 1, 2022, as the effective date for new continuing education (CE) requirements. Within those states, Investment Adviser Representatives (IAR) must annually complete twelve (12) CE … Read More Regulators have sent a chilling message to the securities industry by imposing record fines for widespread and longstanding failures against J.P. Morgan Securities LLC, a subsidiary of JP Morgan Chase & Co., a multinational investment bank and financial services company. The … Read More If your firm offers a wrap fee program to clients or recommends that clients participate in a wrap program, now is an opportune time to review your fee disclosures and billing practices and best execution protocols. In July 2021, the U.S. … Read More
IARs Have Two Years to Complete Continuing Education or Risk Securities License Termination
Policies and Procedures: 125 Million New Reasons to Revisit Books-and-Records Obligations
SEC Sues Investment Advisory Firm for Failure to Disclose Conflicts of Interest in its Wrap Fee Program
CCO Buzz Podcast
On Episode 92 of the CCO Buzz podcast, Compliance Consultant Jeremy Bolf joins us to discuss Senior Investor Protections, which is a topic that should be assessed and evaluated annually. On episode 91 of the CCO Buzz, we are lucky enough to be joined by Director of Consultation Services, Tina Mitchell, to discuss her annual Year-End Compliance Checklist for Investment Advisers. On episode 90 of the CCO Buzz podcast, Sr. Compliance Consultant Janice Powell joins us to offer her insight on the SEC’s recent Wrap Fee Program Risk Alert.
Episode 92: The Continued Regulatory Focus on Senior Investor Protections
Episode 91: 2021 Year-End Checklist for Investment Advisers
Episode 90: Insights on The Wrap Fee Program Risk Alert
Publications
Sr. Compliance Consultant Janice Powell was featured in a Barron’s Advisor article titled “Form ADV Mistakes Can Put Advisors in Hot Water With Regulators. How to Avoid Them.” on January 6, 2022. Head to the article to learn about the importance of … Read More CEO Michelle Jacko was featured in a Barron’s Advisor article titled “8 Smart Compensation Practices for Wealth Management Firms,” on January 4, 2022. “People want to have more say in the direction of their career and in the direction of the … Read More 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
Form ADV Mistakes Can Put Advisors in Hot Water With Regulators. How to Avoid Them.
8 Smart Compensation Practices for Wealth Management Firms
Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?
Events
Schwab Compliance Web Event | March 17, 2021 | Speakers: Michelle L. Jacko Schwab Compliance Web Event | February 17, 2021 | Speakers: Michelle L. Jacko 2021 IAA Investment Adviser Compliance Conference | March 5, 2021 | Speakers: Michelle L. Jacko and Janice Powell
Compliance Expectations for 2021 (Part 2)
Be in the Know: SEC Examination Priorities (Part 1)
SEC Hot Topic: Compliance Tips for Evaluating Your Firm’s Advisory Fees and Expenses