Help Teach Your Clients How To Avoid Investment Scams
Clients Who Want To Chase the Latest Hot Investment Opportunity Can Be Exposed To Scams
Resources for Compliance Professionals – Your 2018 Guide
This year, the Securities and Exchange Commission’s (“SEC’s”) Office of Compliance Inspections and Examinations (“OCIE”) issued their annual examination priorities update in February. The examination priorities were in a new brochure format, with a distinct section covering the five main … Read More
Form ADV Tips: What You Should Think About Before Filing
Registered investment advisers (“RIAs”) that have a fiscal year-end of December 31st are currently faced with the impending deadline of March 31st for filing their annual amendment to Form ADV. While in the past RIAs may have begun reviewing their … Read More
How SEC Issued Investor Bulletins Can Help Your Firm
For almost a decade, the Securities and Exchange Commission (“SEC”) has been issuing write-ups focused on providing investors with timely information on investment frauds and scams (“Investor Alerts”), along with education on various investment topics (“Investor Bulletins”) (both types referred … Read More
Risk Management Update: Risk Management Steps for Dealing with Inadvertent Custody
Determining whether or not your investment advisory firm has custody is not an easy task, but it is necessary. While having custody of client assets is not prohibited under Rule 206(4)-2 of the Investment Advisers Act of 1940, as amended … Read More
Risk Management Update: Compliance Year-End Preparation Checklist
It’s time to start thinking about all the compliance projects that need to be completed before the end of the year. While the Securities and Exchange Commission (“SEC”) slowed their pace on adopting new regulations during 2017, they continue to … Read More
New York’s Cybersecurity Requirements for Financial Services Companies
In 2017, the State of New York’s Department of Financial Services (“DFS”) adopted new requirements for financial services companies (“Covered Entities”)[1] to create and maintain robust cybersecurity policies and programs in a continuing effort to thwart cybercrimes and large scale … Read More