Category Archives: Compliance Calendar
 

Investment Advisers Should Begin Preparations for 2016 Renewals

October 29, 2015

As annual renewal season rapidly approaches, investment advisers should be proactive and begin preparing for renewals by reviewing to make sure the investment advisor is properly registered or notice filed, as applicable, and that its investment adviser representatives are properly licensed with all required state securities regulators.  The IARD Renewal Program serves to facilitate the annual renewal of investment advisers and their investment adviser representatives’ registrations with the appropriate state securities regulators. Although, an investment adviser’s registration, notice filing, and licensing requirements is something that should be reviewed and monitored on an ongoing basis, during the annual renewal process all investment advisers should review their existing registration or notice filing status and each investment adviser representative’s licensing status to confirm that the investment adviser and its representatives are properly registered, notice filed, or licensed (as applicable).  Additionally, all state registered investment advisers should also review the state requirements to see if branch office registration is required and, if it is, investment advisers should confirm that all branch office locations have been properly registered.

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Upcoming Webinar

November 18, 2014

There is only a short amount of time left to register for RIA Compliance Consultants’ upcoming webinar, “Preparing Your Compliance Calendar for 2015,” which will be hosted Thursday, November 20, 2014, at 12:00 CST. This webinar will provide an overview of ongoing regulatory requirements for investment advisers, including discussion on items that should be done throughout the calendar year in efforts to stay compliant with regulatory requirements. Our consults will also provide tips for preparing a customized compliance calendar, checklists and forms to assist your investment adviser with meeting annual regulatory requirements.

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Developing Your Investment Adviser’s Compliance Calendar for 2014

December 04, 2013

Determining ongoing compliance requirements may seem overwhelming to many registered investment advisers.  Complying with the rules and regulations under the Investment Advisers Act of 1940 (“Investment Advisers Act”) and similar state investment adviser regulations must be a central part of an investment adviser’s fiduciary duties.  Investment advisers have a variety of duties to perform throughout the year in order to comply with the requirements of the Investment Advisers Act and similar rules of state securities regulators.  Having a well-organized process can help streamline an investment adviser’s ongoing compliance requirements.  To help manage the ongoing compliance process, registered investment advisers should consider developing a compliance calendar that can serve as an effective and proactive tool to assist the investment adviser with meeting its ongoing compliance requirements. Developing a compliance calendar can help strengthen an investment adviser’s written compliance policies and procedures that must be developed pursuant to Rule 206(4)-7 of the Investment Advisers Act and similar state rules to detect, prevent, and correct possible regulatory violations that can occur throughout the year.

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25% Discount on Complete Sample Forms Package

December 20, 2012

RIA Compliance Consultant’s is offering a 25% discount now until December 21, 2012, on our Complete Sample Forms Package to assist in implementing your investment adviser’s ongoing compliance program. Please use the code: SEC2012 at checkout to receive this discount.

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Developing Your Investment Advisor’s Compliance Calendar for 2013

November 27, 2012

Determining ongoing compliance requirements may seem overwhelming to many registered investment advisors.  Complying with the rules and regulations under the Investment Advisers Act of 1940 (“Investment Advisers Act”) and similar state investment advisor regulations must be a central part of an investment advisor’s fiduciary duties.  Investment advisors have a variety of duties to perform throughout the year in order to comply with the requirements of the Investment Advisers Act and similar rules of state securities regulators.  Having a well-organized process can help streamline an investment advisor’s ongoing compliance requirements.  To help manage the ongoing compliance process, registered investment advisors should consider developing a compliance calendar that can serve as an effective and proactive tool to assist the investment advisor with meeting its ongoing compliance requirements. Developing a compliance calendar can help strengthen an investment advisor’s written compliance policies and procedures that must be developed pursuant to Rule 206(4)-7 of the Investment Advisers Act and similar state rules to detect, prevent, and correct possible regulatory violations that can occur throughout the year.

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