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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Valuation - What Investment Advisers Should Know

January 21, 2015

January 2015

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The Dangers of Recidivist Deficiencies and the SEC's Compliance Program Initiative

December 23, 2014

December 2014 "In the past few years, the Securities and Exchange Commission (“SEC”) has taken a tougher stance against recidivist behavior by registered investment advisory firms (“RIAs”). Recidivism refers to occurrences where an RIA has not corrected deficiencies noted in previous regulatory...

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Year-End Planning for Gifts and Entertainment

November 21, 2014

November 2014

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Compliance End-Of-Year Checklist Update

November 18, 2014

October 2014

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Proxy Voting Considerations for Using Third-Party Vendors

November 18, 2014

September 2014

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Compliance Considerations for Advisers and Sub-Advisers of Mutual Funds

August 21, 2014

August 2014

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The Importance of Performing a Risk Assessment

July 24, 2014

July 2014

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Soft Dollars and Disclosure

June 26, 2014

June 2014

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Cybersecurity - Important Considerations for IAs and BDs

May 27, 2014

May 2014

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Social Media Guidance for Broker-Dealers

April 30, 2014

April 2014

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2014 Solutions for Compliance Professionals

March 27, 2014

March 2014

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The Importance of Best Execution

February 28, 2014

February 2014

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