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

Home

About Us

Our Services

	IA Registration
	Annual Compliance for New IA
	Switch from SEC to State
	Code of Ethics
	Customized Compliance Program

Compliance Webinars

	Upcoming Webinars
	Recorded Webinars

Blog

Navigating the Regulatory Maze

Frequently Asked Questions

	IA Registration
	Switch from SEC to State
	Series 65 Exam
	Solicitor
	Form 13F
	Written Supervisory Procedures
	Codes of Ethics
	Insurance Agents as IAs
	Wrap Fee Brochures

Compliance Tips

	State IA Registration
	Form ADV Background
	Form ADV Drafting
	SEC Examination

Published Articles

	Online Invoice Payments
	Newsletter Signup
	Speaker Request
	Resources
	Job Openings
	Search Our Site
	Disclosures

Monthly Archives November 2005

Internal Controls – Supervision

A recent administrative complaint filed by the State of Massachusetts against a broker/dealer provides another reminder of the importance of strong internal compliance and supervision policies and procedures. In the complaint, Massachusetts is alleging that the named firm instituted weak internal supervisory programs that have enabled its registered representatives to conduct investment advisory activities without [...]

Posted by Bryan Hill

Wednesday, November 30, 2005

Labels: Compliance Program

Preliminary IARD Renewal Statements

Beginning Monday, November 21, 2005, investment advisor firms can access their 2006 Preliminary Renewal Statements via their IARD account. The Preliminary Renewal Statement must be paid, in full, by Wednesday, December 14, 2005. Because it takes approximately two days for payment to post to the IARD account, the funds should arrive no later than Monday, [...]

Posted by Bryan Hill

Tuesday, November 22, 2005

Labels: IARD, Renewals

NASAA Report on State Investment Advisor Exams

Back in September, the North American Securities Administrators Association (NASAA) released a series of recommended best practices for state advisor firms’ compliance programs. The best practices are a result of a NASAA sweep and subsequent report completed and released this year. According to a NASAA press release, the following are recommended best practices: 1) Review [...]

Posted by Bryan Hill

Saturday, November 12, 2005

Labels: Compliance Program, Regulatory Inspections

Qualifications for IAR

As a follow-up to our previous entry, we thought we would discuss the general licensing qualifications that state regulators impose for investment advisor representatives. The following are the standard licensing requirements that states will accept as a qualification for investment advisor representative licensing: 1. Series 65, NASAA Uniform Investment Adviser Law Examination, or 2. Series [...]

Posted by Bryan Hill

Tuesday, November 8, 2005

Labels: IAR Licensing, Registration

IAR Licensing

As the 2006 IARD renewals season quickly approaches, it is a good time to examine which associated persons of an investment advisor firm need to be licensed as investment advisor representatives. SEC Rule 203A-3(a) of the Investment Advisers Act defines an investment advisor representative (“IAR”) as a supervised person who has more than five clients [...]

Posted by Bryan Hill

Tuesday, November 8, 2005

Labels: IAR Licensing

SEC Re-Considering Advisor Exams

Recently there have been several reports in various industry publications such as The Wall Street Journal and the Compliance Reporter discussing changes the SEC is making to its risk-based approach for advisor firm audits. While the SEC has not finalized the changes, it appears they are close to implementing an approach that would more actively [...]

Posted by Bryan Hill

Sunday, November 6, 2005

Labels: Regulatory Inspections



		Starting an RIA? Utilize our expertise to leverage your time while growing your new business.



		Need help implementing an ongoing and comprehensive compliance program? Outsource the heavy lifting by partnering with industry experienced professionals.

Subscribe to this Feed

* 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.

Home
About RIA Compliance Consultants, Inc.
Our Services
	Investment Advisor Registration Service
	Annual Compliance for New IA
	Switch an IA from SEC to State
	Code of Ethics
	Customized Compliance Program
Compliance Tips
	Tips for Registering as a State Investment Advisor
	Form ADV Background
	Form ADV Drafting Tips
	SEC Exam Tips

Compliance Webinars
	Upcoming Webinars
	Recorded Webinars
Frequently Asked Questions
	Investment Advisor Registration FAQs
	Switch from SEC to State FAQs
	Series 65 Examination FAQs
	Solicitor Referral Arrangements FAQs
	Form 13F, Schedule 13D & Schedule 13G FAQs
	Schedule H FAQs
	Written Supervisory Procedures
	Codes of Ethics
	Insurance Agents as IAs FAQs
	Wrap Fee Brochures
Published Articles
Blog
Contact RIA Compliance Consultants, Inc.