Latest risk management updates

What Disclosures Should be Considered for Your Form ADV Amendments

Now that we are in the first quarter of the new year, most registered investment advisers (“RIA” or “Firm”) are busy preparing their annual Form ADV amendment.  This annual amendment is due within 90 days of the end of the Firm’s fiscal year, and the majority of RIAs have a fiscal year end of...

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Latest risk management updates

Implementing Technology as Part of a Compliance Program

The administration of an advisory firm’s compliance program can be a daunting task for any Chief Compliance Officer (“CCO”), let alone an experienced one. Regardless of the number of employees at an investment advisory firm or a CCO’s experience, regulators expect advisory firms to maintain a...

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

January 27, 2017

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

December 06, 2016

The Compliance Program

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Are You a Level Fee Fiduciary?

November 21, 2016

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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Compliance Year-End Preparation Checklist

October 27, 2016

The end of 2016 is fast approaching and the financial services industry has been hit this year with some very important and complicated new regulations, such as the Department of Labor’s Conflicts of Interest Rule (“DOL Rule”) and the Securities and Exchange Commission’s (“SEC”) amendments to Form...

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

October 03, 2016

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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Pitfalls of Performance Advertising by Investment Advisers

August 24, 2016

In this age of technology, advertising and marketing by investment advisers can be very economical and the venues numerous.  Advisers utilize websites, social media, blogs and blast messages as their main distribution channels and all of these mediums have far reaching capabilities. While the SEC...

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SEC Proposed Business Continuity & Transition Plan Rule: More than Just Disaster Recovery Planning

July 20, 2016

On June 28, 2016, the Securities and Exchange Commission (“SEC”) issued a proposal requiring SEC registered investment advisers to implement a written business continuity and transition plan (“BCTP”).1   In the corresponding press release,2 the SEC stated that the purpose of the proposed regulation...

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The DOL Conflicts of Interest Rule and How it May Affect You (Part 2)

June 24, 2016

Who is an ERISA Fiduciary?

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Enhancing Annual Reviews - Practical Considerations for Investment Advisers and Investment Companies

May 23, 2016

It’s been over a decade since the Securities and Exchange Commission (“SEC”) adopted Rule 206(4)-7 under the Investment Advisers Act of 1940, and Rule 38a-1 under the Investment Company Act of 1940. Despite the passage of time, Rule 206(4)-7 and 38a-1 (commonly referred to in the financial industry...

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The DOL Conflicts of Interest Rule and How it May Affect You (Part 1)

April 27, 2016

The final adopting release of the Department of Labor’s (“DOL”) Conflicts of Interest rule (the “Rule”),1 along with the separate releases of two new and four amended prohibited transaction exemptions (“PTE”) are now published in the Federal Register as of April 8, 2016. The main crux revolves...

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2016 Solutions for Compliance Professionals

March 24, 2016

In January, the Securities and Exchange Commission’s (“SEC’s”) Office of Compliance Inspections and Examinations (“OCIE”) issued their annual examination priorities update, which is focused on the highest perceived risks to investors and the U.S. capital markets for the coming year.1 These...

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EB-5 Programs – When is FINRA Registration Required?

February 18, 2016

The EB-5 Program began in 1990 and is administered by the United States Customs and Immigration Service (“USCIS”). An EB-5 Program provides foreign nationals who have the means to invest in certain job creating commercial enterprises in the US, with the ability to obtain an accelerated United...

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