Resources for Compliance Professionals – Your 2018 Guide
March 21, 2018
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Core Compliance
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
February 21, 2018
by
Core Compliance
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
January 18, 2018
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Tina Mitchell
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
December 20, 2017
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Core Compliance
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
October 31, 2017
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Tina Mitchell
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
October 19, 2017
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Core Compliance
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
Important Risk Management Protocols to Consider for Alternative Investments
September 20, 2017
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Tina Mitchell
Risk Management Update September 2017 In an ongoing effort to diversify into non-market correlated investments, more and more advisory firms are offering strategies that include alternative investments. This term is broadly used in the industry and encompasses several types of … Read More
Form ADV | Investment Adviser | Risk Management Updates (RMU) | Securities and Exchange Commission (SEC)
What Advisers Need to Know About Wyoming’s New Investment Adviser Regulations
August 25, 2017
by
Core Compliance
On July 1, 2017, the State of Wyoming’s new regulations became effective, which require certain investment advisers (“IAs) and investment adviser representatives (“IARs”) to register with the State in order to provide investment advice in Wyoming. [1]