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
October 21, 2019 | Baltimore, MD | Speaker: Michelle L. Jacko, CSCP, CEO
November 4-7, 2019 | San Diego, CA | Speaker: Michelle L. Jacko, CSCP, CEO
On episode 53 we discuss a key component of a firm’s annual review – Cybersecurity Testing.
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
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.
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.
On episode 51, we discuss the Filing of Form 13F.
“An adviser that fails to adhere to the terms of these agreements and disclosures, or otherwise engages in inappropriate fee billing and expense practices, may violate the Investment Advisers Act of 1940, and the rules promulgated thereunder, including the antifraud … Read More
In early June, the town of Oyster Bay New York settled 2017 charges issued by the Securities and Exchange Commission (SEC) that it committed fraud related to Municipal Bond Securities it sold investors while failing to disclose the nature and … Read More