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

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Monthly Archives October 2008

Tips for Handling a Customer Complaint Against a Registered Investment Adviser

In the course of conducting investment advisory business, no matter how diligent you are, at some time a customer complaint may arise. It is typical that downturns in the securities markets lead to an increase in customer complaints. What is the proper course of action for you and your registered investment adviser to take if [...]

Posted by Bryan Hill

Wednesday, October 22, 2008

Labels: Customer Complaint, Form U4

2009 IARD Annual Renewal and Form ADV Annual Amendment Requirements

Beginning Monday, November 10, 2008, investment advisor firms can access their 2009 Preliminary Renewal Statements via their IARD account. The Preliminary Renewal Statement must be paid, in full, by Friday, December 12, 2008. 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

Wednesday, October 15, 2008

Labels: Annual Amendment, Form ADV, IAR Licensing, IARD, Renewals

Identifying and Handling Conflicts of Interest

Recently, FINRA published a webcast on identifying and handling conflicts of interest. Conflicts of interest may arise any time that the interests of a registered representative or investment advisory representative compete with the interests of their customers. This post will summarize the FINRA webcast, as conflicts of interest is an important issue that affects both [...]

Posted by Bryan Hill

Monday, October 6, 2008

Labels: Conflict of Interest

SEC Extends Short Selling Orders

On October 1, 2008, the United States Securities and Exchange Commission (“SEC”) announced the extension of several temporary orders intended to ensure the continued smooth operation of orderly markets. While the SEC noted several important factors short selling provides to an efficient market, the SEC continues to be concerned about short selling tactics used to [...]

Posted by Bryan Hill

Monday, October 6, 2008

Labels: SEC, Short Sales

SEC Extends Order Requiring the use of Form SH – Reports for Period September 29 through October 5, 2008 Due Today

The United States Securities and Exchange Commission (“SEC”) has extended its temporary order requiring institutional investment managers to report short sales of Section 13(f) securities. The order has been extended so that it will now terminate at 11:59 p.m. ET on October 17, 2008. The order requires every institutional investment manager that filed, or was [...]

Posted by Bryan Hill

Monday, October 6, 2008

Labels: Form 13F, 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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