Latest risk management updates

Creating A Strong Culture of Compliance

Every registered investment adviser and employees of the adviser have a fiduciary duty to put their clients’ interests ahead of their own. The Securities and Exchange Commission (“SEC”) has often emphasized that the key to a successful compliance program is having a strong culture of compliance...

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Latest risk management updates

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 also perform and document...

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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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Form ADV - Disclosure Reminders and Beyond

January 20, 2016

It’s that time of year again where registered investment advisers with a fiscal year end of December 31st must file their annual amendments to Form ADV. Investment Advisers have 90 days after their fiscal year end to make the filing, which allow them time to review the current version and make both...

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The Human Element of Cybersecurity

December 18, 2015

Beginning in 2014, both the Securities Exchange Commission (“SEC”) and FINRA began to examine the heightened risk financial services firms face regarding unauthorized access to the electronic data that these firms routinely maintain as part of their businesses. As part of this initiative, the SEC...

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2015 CCLS Compliance End-Of-Year Checklist Update

November 30, 2015

On November 18, 2015, SEC Chair Mary Jo White gave testimony to the Committee on Financial Services, outlining the various steps the SEC has been taking and what they plan on doing going forward in regards to the financial markets and financial services industry.

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Considerations for Compliance Automation

October 14, 2015

In every walk of life, manual functions are being automated and securities compliance is no exception. This trend will likely continue, and for good reason: automation can create efficiency, improve accuracy and increase capacity. In this update we will address some of the pros and cons of...

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Important Regulatory Filings that Affect Investment Advisers

September 30, 2015

 

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Principal Trading and Agency Cross Transactions for Advisory Clients: Are Your Policies and Procedures Compliant?

August 25, 2015

August 2015

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The Importance of Reviewing Fees Assessed to Retirement Plans

July 24, 2015

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

June 11, 2015

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Social Media - Compliance Risk Management Considerations

May 26, 2015

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