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Monthly Archives September 2009

Join Our Webinar – Auditing Investment Advisory Fee Calculations, Deductions & Refunds

Earlier this year, the U.S. Securities and Exchange Commission (“SEC”) proposed new requirements for registered investment advisor firms that have custody of clients funds and securities. According to current SEC Rule 206(4)-2, Custody or Possession of Funds of Securities of Clients, custody is defined as “holding, directly or indirectly, client funds or securities, or having [...]

 
Posted by Bryan Hill
Monday, September 21, 2009
Labels: Custody, Fee Audit, Webinar

 

SEC Chair Predicts Detailed Disclosures by Hedge Funds to Regulators

The Wall Street Journal (“WSJ“) recently reported that “Securities and Exchange Commission Chairman Mary Schapiro predicted that any new regulation of hedge funds will likely require detailed disclosure to regulators, but not necessarily as much disclosure to the public.” According to the WSJ, “[i]f proposed legislation under consideration by Congress to require hedge-fund advisers to [...]

 
Posted by Bryan Hill
Sunday, September 20, 2009
Labels: Hedge Funds

 

NASAA President Calls for Raising AUM to $100 Million for SEC Registration of Investment Advisers

In a recent speech at the North American Securities Administrators Association (“NASAA“) annual conference, Texas Securities Commissioner, Denise Voigt Crawford who is the incoming NASAA President, revealed that the SEC might raise the asset under management (“AUM“) threshold for SEC registration of investment advisers from $25 million to $100 million, and NASAA supports such a [...]

 
Posted by Bryan Hill
Saturday, September 19, 2009
Labels: Custody, Registration

 

NASAA Proposes Model Rule Regarding Solicitors for Registered Investment Advisors

The Investment Adviser Regulatory Policy and Review Project Group of the North American Securities Administrators Association (known as “NASAA” and essentially consisting of state securities regulators) recently solicited comments from the public on a proposed model rule regarding solicitors for registered investment advisors. The comment period ended in August and NASAA has not yet released [...]

 
Posted by Bryan Hill
Tuesday, September 8, 2009
Labels: Solicitors, Webinar

 

Registered Investment Advisors Need to Monitor Outside Business Activities of Investment Advisor Representatives

The establishment of policies and procedures designed to monitor the outside business activities (“OBAs”) of supervised persons (i.e. officers, directors, partners, investment advisor representatives, and employees) should be part of every registered investment advisor firm’s written compliance programs. RIA Compliance Consultants, Inc. suggests that some type of “outside business activities form” be created and all [...]

 
Posted by Bryan Hill
Monday, September 7, 2009
Labels: Form ADV, IAR Licensing, Outside Business Activities, Webinar

 

RIAs Required to Disclose Conflicts of Interest & Outside Business Activities

A registered investment advisor has a fiduciary duty to disclose all real and potential conflicts of interests to clients as well as all material arrangements. Often times this broad requirement encompasses outside business activities the registered investment advisor considers non-advisory and would otherwise not disclose to clients. For example, a registered investment advisor that spends [...]

 
Posted by Bryan Hill
Monday, September 7, 2009
Labels: Conflict of Interest, Outside Business Activities, Webinar

 
  

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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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