Advisers, it’s time to prepare! As of September 4, 2024, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) has adopted a rule that will deem certain investment advisers, including ERAs, as “financial institutions” and require implementation of … Read More
If you’re intrigued by how the biggest players in finance reveal their stock moves, you’ll want to pay attention to Form 13F. This quarterly filing, mandated by the Securities and Exchange Act of 1934 (“1934 Act”), Section 13(f), requires institutional … Read More
June 13, 2024 | InvestmentNews – goRIA MasterClass | Speaker: Michelle L. Jacko, CSCP, CEO
The U.S. Securities and Exchange Commission (“SEC”) has been very busy over the last couple of years issuing new regulations that apply to investment advisers. For several of these, it is apparent in the name that it applies to investment … Read More
As the annual ADV filing deadline approaches, advisors must prioritize updating their Form ADV to ensure compliance with regulatory standards and uphold the principles of loyalty and care towards clients. In accordance with federal and state securities regulations, both SEC … Read More
In the rapidly evolving landscape of financial services, off-channel communications present a significant compliance challenge for investment advisers. With the rise of digital platforms, advisers can engage with clients through various channels, such as email, social media, and messaging apps … Read More
March 6 – 8, 2024 | Washington, DC | Speaker: Michelle L. Jacko, CSCP, CEO
In October, The U.S. Securities and Exchange Commission (“SEC”) issued their 2024 exam priorities list,[1] which is only the second time in 10 years that they have released the list prior to year-end. Prior release dates have usually been in … Read More
An investment adviser has custody of client assets if it holds, directly or indirectly, client funds or securities, or if it has the authority to obtain possession of those assets.[1] An investment adviser with custody of client assets must: ensure … Read More
October 24 – 26, 2023 | Philadelphia, PA | Speaker: Michelle L. Jacko, CSCP, CEO