It’s a Good Time to Review Fee Disclosure for Accuracy & Transparency
When it comes to the all-important topic of management and other fees or expenses, investment advisors are charged with the fiduciary responsibility of making certain they disclose all related information comprehensively and transparently.
Updates and Changes to Your Firm’s Policies and Procedures
Under Rule 206 (4) -7 all Registered Investment Advisers (“RIA’s) are required to have compliance Policies and Procedures, adequately designed to help them meet their regulatory requirements. A Firm’s obligations regarding their Policies and Procedures manuals do not end at … Read More
NSCP National Conference 2019 | Supporting Women in Compliance
October 21, 2019 | Baltimore, MD | Speaker: Michelle L. Jacko, CSCP, CEO
IMPACT 2019 | SEC Examinations: Today’s Hot Topics
November 4-7, 2019 | San Diego, CA | Speaker: Michelle L. Jacko, CSCP, CEO
Episode 53: Cybersecurity Testing
On episode 53 we discuss a key component of a firm’s annual review – Cybersecurity Testing.
Cybersecurity Testing as Part of the Annual Review
Firms registered with the Securities and Exchange Commission (“SEC”) are mandated by Rule 206(4)-7 (“Compliance Rule”) to perform an annual review of their policies and procedures, and a key component of a firm’s annual review should include cybersecurity testing. Cybersecurity … Read More
Episode 52: Fiduciary Duty
On episode 52, we talk about the SEC’s issued interpretive guidance on an adviser’s standard of conduct, as mandated under the Investment Advisers Act of 1940.
SEC Approves Four-Part Rules Package
On June 5, 2019, the Securities and Exchange Commission (SEC) approved a four-part investment advice reform package containing new rules that govern conduct, forms, and interpretations for investment advisers and broker-dealers.
Episode 51: Filing of Form 13F
On episode 51, we discuss the Filing of Form 13F.