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

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Monthly Archives October 2006

Investment Advisor Representatives’ Duty to Update Form U4

The end of the year is an excellent time to remind investment advisor representatives (IARs) of the duty to update their Form U4. In addition, investment advisor firms should be, at least annually, reminding IARs of their ongoing duty to update the U4. According to the U4 instructions, “an individual is under a continuing obligation [...]

Posted by Bryan Hill

Tuesday, October 31, 2006

Labels: Form U4, IAR Licensing

SEC and NASSA Continue IARD System Fee Waiver

As the 2007 IARD Annual Renewal Season quickly approaches, there is good news for investment advisor firms. The SEC and NASAA announced last week that they will continue to waive the annual IARD system fees paid by investment advisor firms for the next two years. The two bodies also announced a waiver of initial set-up [...]

Posted by Bryan Hill

Monday, October 30, 2006

Labels: IARD

Future SEC Initiatives: IA/BD Study, Books and Records, New Part II, Soft-Dollar and Hedge Funds

In a recent speech, Andrew J. Donohue, Director of the SEC’s Division of Investment Management, outlined several future initiatives for the Division of Investment Management. These initiatives include the SEC’s Investment Adviser/Broker-Dealer study which aims to analyze current industry and regulatory practices and also examine the levels of protection afforded to investors under both the [...]

Posted by Bryan Hill

Wednesday, October 25, 2006

Labels: Form ADV, Record Keeping

Outside Business Activities – Responsibility to Update Form ADV and Form U4

The establishment of sound policies and procedures aimed at monitoring the outside activities of its supervised persons (i.e. the advisor’s officers, directors, partners, investment advisor representatives, and employees) should be part of any firm’s written compliance programs. It is suggested that some type of “outside business activities form” be created and all supervised persons be [...]

Posted by Bryan Hill

Thursday, October 19, 2006

Labels: Form ADV, Form U4, Outside Business Activities

2007 IARD Annual Renewal and Form ADV Annual Amendment Requirements

Beginning Monday, November 6, 2006, investment advisor firms can access their 2007 Preliminary Renewal Statements via their IARD account. The Preliminary Renewal Statement must be paid, in full, by Friday, December 8, 2006. Because it takes approximately two days for payment to post to the IARD account, the funds should arrive no later than Wednesday, [...]

Posted by Bryan Hill

Tuesday, October 10, 2006

Labels: Form ADV, IARD



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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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