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Monthly Archives July 2007

U.S. Senate Investigating Sales Tactics and Credentials Focused Upon Seniors

It was recently reported by Investment News that U.S. Senate Special Committee on Aging has launched an investigation regarding certain controversial sales tactics and credentials focused upon the elderly. This Senate committee has apparently made requests to several insurers about its agent training materials and agent screening procedures. Moreover, it was reported that this committee [...]

 
Posted by Bryan Hill
Monday, July 23, 2007
Labels: Equity-Indexed Annuities

 

Minnesota, North Dakota, and South Dakota Require Use of IARD to Post Form ADV Part II

RIA Compliance Consultants, Inc. continues to follow the implementation of Form ADV Part II functionality on IARD, and we have learned that three more states require state registered investment advisors to post the Form ADV Part II on IARD. While no deadline has been to set to post an investment advisor’s existing Form ADV Part [...]

 
Posted by Bryan Hill
Friday, July 13, 2007
Labels: Form ADV, IARD

 

Attention SEC Registered Investment Advisors: Are You in Compliance with Your Home State’s Rules?

If your firm is registered with the SEC, RIA Compliance Consultants wants you to be aware that the Investment Advisers Act of 1940 provides state regulators authority over federally registered investment advisors and their employees, albeit on a limited scope. Many SEC firms believe that because they are not registered with a state regulator, they [...]

 
Posted by Bryan Hill
Friday, July 13, 2007
Labels: Compliance Training, SEC

 

Proper Fee Disclosures in Form ADV

According to a recent survey by State Street Corp.’s investment management arm and Knowledge@Wharton, only 43% of investors said they understood their registered investment adviser’s fee structure “completely” or “fairly well” (retrieved online from InvestmentNews). The results from this study reminded us of a September 13, 2005 NASAA news release. According to the news release, [...]

 
Posted by Bryan Hill
Tuesday, July 10, 2007
Labels: Form ADV

 

SEC Will Consider New Anti-Fraud Rule Under Section 206 of the Investment Advisers Act of 1940

During its open meeting on Wednesday, July 11, 2007, the United State Securities Commission (SEC) will consider adopting the a new anti-fraud rule under Section 206 of the Investment Advisers Act of 1940 for pooled investment vehicles such as hedge funds. As you may recall, in 2006 the U.S. Court of Appeals for the District [...]

 
Posted by Bryan Hill
Saturday, July 7, 2007
Labels: Hedge Funds

 

Ohio Prohibits Mortgage Brokers & Loan Officers From Obtaining Referral Fee From Affiliated Registered Investment Adviser

In the most recent quarterly Ohio Securities Bulletin, the Ohio Division of Securities, which is the regulator of state registered investment advisers in Ohio, noted a recent position taken by its sister division, the Ohio Division of Financial Institutions, which regulates banks and mortgage brokers, since it may have implications to registered investment advisers registered [...]

 
Posted by Bryan Hill
Sunday, July 1, 2007
Labels: Outside Business Activities, Solicitors

 
  

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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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