Episode 71: Considerations for Robo-Advisers
On episode 71 of the CCO Buzz we discuss compliance considerations for robo-advisers.
Performing Due Diligence on Service Providers is Essential During COVID-19
Registered investment advisers (“RIAs”) and their employees are fiduciaries to their clients. As such, they are tasked with ensuring that the services being provided to clients are appropriate and in their best interest. The Securities and Exchange Commission (“SEC”) describes … Read More
Compliance with Form CRS Requirements: OCIE Announces Examination Priorities
On June 5, 2019, the Securities and Exchange Commission (SEC) adopted Form CRS under both the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940, with a compliance deadline of June 30, 2020. As that deadline … Read More
Episode 70: Interview with Jessica Thayer of Starkweather and Shepley Insurance Brokerage
On episode 70 of the CCO Buzz, we interview Jessica Thayer of Starkweather and Shepley Insurance Brokerage to learn more about the specifics of insurance coverage for investment advisers.
Want to Advertise to Help Differentiate Your Firm? Read This First
Ask chief compliance officers what keeps them up at night and you’ll find the approval of marketing materials, social media communications, and other forms of advertising rank high on the list. Two factors have combined to cloud best practices for … Read More
SEC Reduces Regulatory Burdens for Advisers of RBICs
On March 2, the U.S. Securities and Exchange Commission took two important steps to alleviate red tape for investment advisers who provide capital to and work with Rural Business Investment Companies (RBICs). Licenses for RBICs are provided by the Rural … Read More
Two Important Concerns to Address Within Your Business Continuity Plan (BCP) for an SEC Examination
On March 23, 2020, the U.S. Securities and Exchange Commission (“SEC”) modified its announcement “OCIE Statement on Operations and Exams – Health, Safety, Investor Protection, and Continued Operations are our Priorities.” Within the announcement, the SEC determined that the Office … Read More
Immediate Impacts of COVID-19 on Investment Adviser Compliance Programs
A month ago, it was unclear of how much COVID-19 (the “coronavirus”) would impact all of us in every facet of our lives. For some, we are indefinitely “sheltered in” and are working remotely where possible. Others must take care … Read More
Episode 68: Practical Tips for Completing and Filing Forms ADV and CRS
On episode 68 of the CCO Buzz, Managing Director, Consultation Services, Tina Mitchell offers her practical tips for completing and filing Forms ADV and CRS.
How Strong Is Your Cybersecurity Program?
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) staff has compiled observations from its thousands of examinations of broker-dealers, investment advisers, clearing agencies, national securities exchange, and other SEC registrants and shared some best practices for … Read More