Navigating the Regulatory Maze for Investment Advisors - Blog archives : Registered Investment Advisor (RIA) Compliance Consultants

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Monthly Archives May 2005

SEC Provides Guidance As to What Constitutes Investment Advisory Activities

The SEC’s recent adoption of the controversial rule, Certain Broker-Dealers Deemed not to be Investment Advisers, does not appear to have a direct effect on the compliance practices of existing RIA firms; however, it does require significant action to be taken by brokers-dealers that are conducting what have usually been considered advisory services. While we [...]

Posted by Bryan Hill

Tuesday, May 31, 2005

Labels: SEC

You Created a Code of Ethics, But Did You Disclose It?

Is your firm’s new Code of Ethics described in your ADV Part II? Does your ADV Part II allow clients to request a copy of the Code of Ethics? This is an item that some investment advisors have overlooked. The recently effective SEC Rule 204A-1 requires all SEC registered firms to include a summary of [...]

Posted by Bryan Hill

Sunday, May 29, 2005

Labels: Code of Ethics

Access Persons Under SEC Rule 204A-1

It’s likely that your firm has recently established an “access persons” list and received its first holding reports in order to comply with the recently effective SEC Rule 204A-1. However, is your firm actually supervising the reported transactions of the access persons and documenting such supervision? Under Rule 204A-1, SEC registered investment advisory firms are [...]

Posted by Bryan Hill

Saturday, May 28, 2005

Labels: Code of Ethics

SEC Starts CCO Outreach Program

Last week the SEC wrapped up its first set of Chief Compliance Officer regional meetings. The initial seminars were held by the Pacific Regional Office in several locations throughout California. This is the first step in what the SEC has described as its “CCO Outreach” program. The Outreach program was announced back in March during [...]

Posted by Bryan Hill

Saturday, May 28, 2005

Labels: SEC

Pension Consulting – Follow the Money!

With the SEC’s recent focus upon pension consulting, it’s incumbent upon the chief compliance officers of investment advisors to review again whether their firms are properly disclosing the conflicts of interest that may exist with their pension consulting services and then supervising, mitigating and/or eliminating such conflicts. Since the relationships and apparent methods for compensation [...]

Posted by Bryan Hill

Friday, May 20, 2005

Labels: Pensions

SEC Guidance Is Arriving for New CCOs

Are you a newly appointed Chief Compliance Officer of an SEC registered investment advisory firm, but not completely sure of the full breadth of your responsibility? If so, you definitely aren’t alone. Last fall, the SEC’s Compliance Programs of Investment Companies and Investment Advisers Rule went into effect. Although Rule 206(4)-7 requires investment advisors (registered [...]

Posted by Bryan Hill

Wednesday, May 18, 2005

Labels: Compliance Program

SEC Warns Investment Advisors That Conflicts Related to Pension Consultants Need to Disclosed & Mitigated

Does your investment advisory firm serve as a pension consultant? If so, then you need to carefully review the Staff Report Concerning Examinations of Select Pension Consultants released by the SEC on Monday, May 16, 2005. The SEC advises that many pension consultants/investment advisors examined as part of its sweep have incorrectly concluded that they [...]

Posted by Bryan Hill

Tuesday, May 17, 2005

Labels: Pensions



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* RIA Compliance Consultants, Inc. ("RCC") is not a law firm and does not provide legal services. A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

The determination to use a third-party compliance services provider is an important decision and should not be based solely upon advertisements or self-proclaimed expertise. A description or indication of limitation of our compliance services does not mean that an agency or board has certified RCC as a specialist or expert in investment advisor compliance. All potential clients are urged to make their own independent investigation and evaluation of RCC.

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