Episode 86: The New ERISA Exemption Rule
On Episode 86 of the CCO Buzz, Managing Director of Consultation Services, Tina Mitchell joins us to discuss the new ERISA exemption for financial professionals.
Don’t Run Afoul of the All-or-Nothing Requirement of the SEC’s New Marketing Rule
Many investment advisers eagerly await the new opportunities created by the SEC’s New Marketing Rule. With a mandatory effective date of November 4, 2022, many advisers have begun to take steps to explore how they can change their marketing efforts … Read More
Steps Advisers and Investors Can Take to Protect Against Potentially Fraudulent Investments in a Post-Madoff World
Almost 12 years have passed since Bernie Madoff was sentenced to 150 years in prison with restitution of $170 billion for perpetrating an elaborate Ponzi scheme that harmed thousands of clients. Widely regarded as the largest fraudulent investment scandal in … Read More
New NASAA Model Rule on Continuing Education Requirements for Investment Adviser Representatives
The North American Securities Administrators Association (“NASAA”) recently adopted a new model rule on Investment Adviser Representative (“IAR”) requirements for Continuing Education (“CE”). The new model rule states any IAR registered under Section 404 of the 2002 Act (or 201 … Read More
Episode 84: New NASAA Continuing Education Requirements for IARs
On episode 84 of the CCO Buzz podcast, we discuss the new NASAA Model Rule on Continuing Education Requirements for Investment Adviser Representatives.
What Investment Advisor Reps Need to Know About New York State’s New Registration Requirements
Since February 1, 2021, New York has required investment adviser representatives (IARs) — of both New York state-registered and SEC-registered (“federally covered”) advisory firms — to register with the state through the CRD system and meet its examination standards. New … Read More
Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?
CEO Michelle Jacko‘s article, “Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?,” was published in the February 2021 issue of IAA’s Newsletter. In the article, Michelle discusses the evolving SEC guidance … Read More
NSCP Currents: Why Advisory Fees and Expenses Remain a Continued Regulatory Focus
CEO Michelle Jacko‘s article, “Why Advisory Fees and Expenses Remain a Continued Regulatory Focus,” was published in the January 2021 edition of the National Society of Compliance Professionals’ Currents newsletter.
Considerations for Advancing Your Compliance Program
As the new year begins, there is a great opportunity to enhance your firm’s compliance program and start the year off on a positive note. In this Risk Management Update, we will discuss several recommendations and best practices to consider … Read More
SEC Provides Long-Awaited Guidance and Requests Comments to Help Protect Bitcoin Investors
When the price of a much-publicized asset increases 296% as Bitcoin did in 2020, it’s bound to attract attention from institutional investors, the general public, and the U.S. Securities and Exchange Commission (SEC). After taking 10 years since its creation … Read More