Latest investment adviser

Why Investment Advisers Should Perform Annual Risk Assessments

"Risks applicable to investment advisers continue to be a high priority focus for the Securities and Exchange Commission (“SEC”).  To that end, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) is tasked with the responsibility of, among other things, monitoring risk applicable...

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Latest investment adviser

Investment Advisers - What You May Not Know Could Affect Your Registration

There are many facets surrounding the registration of investment advisory firms (“IA Firm”) and investment adviser representatives (“IAR”) and the process can be erroneous if not performed correctly. Since registration is one of our core service offerings, we get asked a lot of questions from...

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Creating a Robust Compliance Program

The Compliance Program

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Are You a Level Fee Fiduciary?

The Department of Labor’s (“DOL’s”) Conflicts of Interest rule (“the DOL Rule”),[1] and its broad applications, will inevitably impact a wide range of retirement investors and most financial services firms that deal directly with investors.  As the DOL Rule will materially go into effect April 10,...

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SEC Releases Amendments to Form ADV and Other Investment Adviser Act Rules

In a press release dated August 25, 2016,1 the Securities and Exchange Commission (“SEC”) announced their issuance of a final rule, which amends Form ADV (Uniform Application for Investment Adviser Registration), along with five other rules under the Investment Advisers Act of 1940, as amended...

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Soft-Skills: How to Develop Successful Project Management for Compliance Initiatives

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Thomson Reuters - Advisors: How to prepare for the 2015 U.S. regulatory environment

January 12, 2015

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Valuation - What Investment Advisers Should Know

January 2015

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