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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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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Regulatory Pitfalls Regarding Fee Based Accounts

April 24, 2015

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2015 Solutions for Compliance Professionals

March 19, 2015

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Form ADV - Important Things You Need To Know About Updates

February 19, 2015

February 2015

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