Retirement account rollover recommendations remain a top focus of the Securities and Exchange Commission (“SEC”) and Department of Labor (“DOL”) examinations. While many advisers associate PTE 2020-02 with 401(k)-to-IRA rollovers, its application is broader and extends to many recommendations involving … Read More
In November, the SEC released their 2026 Examination Priorities List,[1] which for investment advisers reflect a notable return to foundational principles, with a strong emphasis on fiduciary duty and standards of conduct, accurate disclosures, and the overall strength of a … Read More
For investment advisers, compliance is more than just a regulatory requirement — it’s a critical safeguard for the firm’s integrity, client relationships, and long-term viability. From the moment a firm registers with the U.S. Securities and Exchange Commission (SEC), it … Read More
The U.S. Securities and Exchange Commission (“SEC”) recently released the list of examination priorities for their 2025 fiscal year[1]. In their release, the SEC stated that their goal for issuing the list to coincide with the beginning of their fiscal … Read More
As the new year approaches, now is a crucial time of year for investment advisers to ensure that their compliance programs are up to speed. The SEC’s Risk Alerts and examination findings offer important insight into areas currently under scrutiny, … Read More
It’s one of those scenarios made for film or television: there you are, sitting in your office, minding your own business. All of your firm’s personnel have submitted their quarterly attestation certifications on time and you just completed some procedural … 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
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
October 24 – 26, 2023 | Philadelphia, PA | Speaker: Michelle L. Jacko, CSCP, CEO