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.
Improper Billing Practices Draw SEC Fraud Charges
“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
The Town of Oyster Bay Settles SEC Fraud Charges
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
OCIE Identifies Compliance Shortcomings Regarding Privacy Notices and Safeguard Policies (Regulation S-P)
Through their examination process, the Office of Compliance Inspections and Examinations (OCIE) has uncovered a number of compliance concerns pertaining to Regulation S-P, the Securities and Exchange Commission (SEC) regulation that defines requirements for privacy notices and safeguard policies that … Read More
Social Sentiment Investing Tools: SEC Issues Investor Bulletin
Apart from the traditional sources of information investors use to gather information about their own investment decisions, such as analyst estimates, news stories, and other indicators of market volatility, investors lately have been utilizing social sentiment tools.
NSCP Webinar: Cybersecurity Risks You May Not be Considering
July 9, 2019 @ 11 AM PST/ 2:00 PM EST
Episode 48: SAA Certification
On episode 48 we discuss the upcoming SAA deadline for Registered Investment Advisers and Broker-Dealers.
Creating A Strong Culture of Compliance
Every registered investment adviser and employee of the adviser have a fiduciary duty to put their clients’ interests ahead of their own. The Securities and Exchange Commission (“SEC”) has often emphasized that the key to a successful compliance program is … Read More