Under Rule 206(4)-7 (“Compliance Rule”) of the Investment Advisers Act of 1940 (“Advisers Act”), Investment Advisers (“RIAs”) that are registered with the Securities and Exchange Commission (“SEC”) must perform an annual review of the RIA’s policies and procedures (“P&Ps) to … Read More
On episode 74 of the CCO Buzz, our Senior Compliance Consultant discusses supervision considerations for the current COVID-19 Era and how firms can start planning for the future.
On May 26, 2020, the Securities and Exchange Commission (“SEC”) announced that Los Angeles-based private equity firm and registered investment adviser, Ares Management LLC (“Ares” or the “Firm”) agreed to a cease-and-desist order, censure, and to pay a $1 million … Read More
CEO Michelle Jacko’s article, “Considerations for 2020 and Focus on SEC Exam Priorities,” was published in the April 2020 edition of the National Society of Compliance Professionals’ Currents newsletter. The article provides an overview of the Securities and Exchange Commission’s 2020 Examination … Read More
On episode 73 of the CCO Buzz, we discuss cybersecurity considerations for working from home during COVID-19.
June 16, 2020 @ 11:00 AM PST/2:00 PM EST |
On episode 72 of the CCO Buzz, we discuss Business Continuity Plans as they relate to COVID-19.
On episode 71 of the CCO Buzz we discuss compliance considerations for robo-advisers.
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
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