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

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Monthly Archives May 2008

One-Day Audits Being Conducted on Newly Registered SEC Investment Advisers

The U.S. Securities and Exchange Commission (SEC) has been examining certain recently registered investment advisers by conducting limited scope, one-day examinations. According to the SEC’s cover letter sent in advance of these audits, “the purpose of these examinations is to assess and discuss important risk areas presented be the registered investment advisers’ operations and the [...]

Posted by Bryan Hill

Thursday, May 22, 2008

Labels: Compliance Training, Regulatory Inspections, SEC

First Quarter Personal Securities Transaction Reports

With the end of first quarter 2008, RIA Compliance Consultants would like to remind SEC registered investment advisors of their requirement to collect or prepare updated personal securities transaction reports from all access persons. The information on the reports must reflect transactions that took place during first quarter of 2008 and must officially be reported [...]

Posted by Bryan Hill

Monday, May 5, 2008

Labels: Compliance Program, Enforcement, PST

Lori Richards Provides Insight to SEC Exam Focus

On March 20, Lori Richards, Director – SEC’s Office of Compliance Inspections and Examinations, delivered a speech explaining the SEC’s current registered investment advisor examination priorities. The speech highlights the “top 10″ areas of focus during routine examinations. While not an official statement from the SEC, Ms. Richards’ speech provides excellent insight into the current [...]

Posted by Bryan Hill

Monday, May 5, 2008

Labels: Compliance Program, Regulatory Inspections, SEC



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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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