Episode 39: Verifying Personal Disclosures
On this week’s episode we discuss the art of verifying personal disclosures on episode 39 of the CCO Buzz Podcast.
What Disclosures Should be Considered for Your Form ADV Amendments
Now that we are in the first quarter of the new year, most registered investment advisers (“RIA” or “Firm”) are busy preparing their annual Form ADV amendment. This annual amendment is due within 90 days of the end of the … Read More
Episode 24: Steps for Performing a Risk Assessment
Episode 24 features Core Compliance’s Lead Senior Compliance Consultant, Tina Mitchell. Tina’s back to discuss the integral steps to performing a Risk Assessment and informs our audience of core risk areas. She also provides key examples and scenarios that listeners … Read More
Cybersecurity Risks: OCIE and SEC Enforcement Division Focus Continues
Cybersecurity is becoming a greater priority each year for investment firms. Not only is the risk of attack increasing from a growing number of sources, but the level of potential damage to individual firms and the overall market also increases … Read More
Annual vs Other Than Annual Form ADV Amendments
With the recent updates to the requirements for Form ADV, many firms are wrapping up the preparation for their Form ADV Annual Amendment filing. Most firms should have spent the last few weeks gathering specific data points to address the … Read More
Standing Letters of Authorization (SLOA), the SEC Custody Rule, and Form ADV
On the Form ADV, there are two sections where a firm must declare whether or not they have custody, and if so, how much custody the firm has. Specifically, this is a part of Item 9 of Form ADV Part … Read More
Form ADV Tips: What You Should Think About Before Filing
Registered investment advisers (“RIAs”) that have a fiscal year-end of December 31st are currently faced with the impending deadline of March 31st for filing their annual amendment to Form ADV. While in the past RIAs may have begun reviewing their … Read More
Don’t Procrastinate – Start Preparing to File the Newly Amended Form ADV Today
While it’s still early in the year, it’s easy to continue to push the Form ADV annual amendment to the side. However, with these new changes, a firm that doesn’t prepare now is setting itself up for potential penalties or … Read More
How to Get Started On Your Form ADV Annual Amendments
On October 1, 2017, the SEC updated and expanded the information required in the Form ADV, which means that if your fiscal year ended on December 31, 2017, it’s time for you to start thinking about your annual Form ADV … Read More
NSCP Currents – Compliance Year-End Preparation Checklist
Featured in the December 2017 edition of the National Society of Compliance Professionals (“NSCP”) Currents publication, our Lead Senior Compliance Consultant, Tina Mitchell, provides guidance on compliance and what you should be thinking about to prepare for 2018.