Episode 51: Filing of Form 13F
On episode 51, we discuss the Filing of Form 13F.
Best Execution Considerations for Investment Advisers
Every registered investment adviser has a fiduciary duty to seek best execution when placing transactions for clients. In addition to seeking best execution, the Securities and Exchange Commission (“SEC”) has issued a variety of guidance stating that advisory firms must … Read More
Episode 29: Market Volatility
On this week’s episode we discuss Market Volatility and he’s also providing some key considerations for CCOs regarding shifts in market behavior.
Blog | Due Diligence | Investment Adviser | Securities and Exchange Commission (SEC) | Senior Investors
Educating Aging Investors – Millennial to Baby Boomer Generations
[UPDATE] On June 21st, 2018: The U.S. Court of Appeals for the Fifth Circuit issued a mandate today that vacated the DOL Fiduciary Rule. With over 20% of the U.S. population projected to be over the age of 65 by … Read More
Episode 11: Recapping the 2018 IAA Investment Adviser Compliance Conference
This week we discuss the highlights of the 2018 Investment Adviser Compliance Conference, with the hot topics on everyone’s mind as well as the most popular sessions of the conference.
3 Common Mistakes Investment Advisory Firms Make When Maintaining Compliance Programs
Regardless of size, investment advisers need to be aware of some common, and avoidable, mistakes that are often made when maintaining compliance programs. Some of these mistakes are at a high level, things that senior management should be aware of. … Read More
Important Risk Management Protocols to Consider for Alternative Investments
Risk Management Update September 2017 In an ongoing effort to diversify into non-market correlated investments, more and more advisory firms are offering strategies that include alternative investments. This term is broadly used in the industry and encompasses several types of … Read More
Form ADV | Investment Adviser | Risk Management Updates (RMU) | Securities and Exchange Commission (SEC)
What Advisers Need to Know About Wyoming’s New Investment Adviser Regulations
On July 1, 2017, the State of Wyoming’s new regulations became effective, which require certain investment advisers (“IAs) and investment adviser representatives (“IARs”) to register with the State in order to provide investment advice in Wyoming. [1]
Form ADV | Investment Adviser | Risk Management Updates (RMU) | Securities and Exchange Commission (SEC)
What Advisers Need to Do to Prepare for Upcoming Changes to Form ADV
In their continued quest to obtain “big data” from registrants, the U.S. Securities and Exchange Commission (“SEC”) issued a final rule in August 2016, which significantly expands the information required in Form ADV.[1] The compliance date for the rule is … Read More
Blog | Broker-Dealers | Conflicts of Interest Rule | Investment Adviser | Securities and Exchange Commission (SEC)
SEC Seeks Public Comment on Standards of Conduct for Investment Advisers and Broker-Dealers
In a recent public statement, Securities and Exchange Commission (“SEC”) Chairman Jay Clayton announced that the SEC is moving forward with its review of the standards of conduct mandates for investment advisers and broker-dealers and he welcomes the Department of … Read More