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
For our first CCO Buzz episode of 2021, Senior Compliance Consultant and Compliance Analyst help us unpack the best methods for jump-starting your compliance program in 2021.
On April 27, 2020, the Securities and Exchange Commission’s Division of Investment Management (the “SEC”) issued updated guidance concerning the following topics in response to COVID-19: Disclosure requirements for investment advisers applying for loans through the U.S Small Business Administration’s … Read More
On episode 68 of the CCO Buzz, Managing Director, Consultation Services, Tina Mitchell offers her practical tips for completing and filing Forms ADV and CRS.
On episode 66 of the CCO Buzz, we get to know our Client Relations Executive!
The Securities and Exchange Commission (SEC) issued its final decision on its three-part reform package last month, featuring the Regulation Best Interest (REG BI). The regulation will require broker-dealers to increase their disclosures and act in their client’s best interest … Read More
On episode 49 discuss the frequently cited deficiencies cited during routine exams, surround the importance of best execution reviews.
On episode 48 we discuss the upcoming SAA deadline for Registered Investment Advisers and Broker-Dealers.
On March 7, 2019 the Securities and Exchange Commission (SEC) filed a cease-and-desist order against a New York-based Investment Advisory Firm (the “Firm”) and its sole proprietor for numerous violations related to:
We discuss disclosures and the SEC’s Share Class Selection Disclosure Initiative. Some news out of the SEC recently and we thought we’d share some tips and best practices that can be applied to firms as they complete their Form ADVs requirements.