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Monthly Archives October 2009

Deadline Approaching for Investment Advisers to Complete the New Form U4 Regarding Regulatory Actions

Registered investment adviser firms must file amended Form U4s for all their investment adviser representatives to provide answers to the new regulatory action disclosure questions. The North American Securities Administrators Association (“NASAA”) has published notice clarifying that the new questions on the FINRA Form U4 and the deadline of November 13, 2009 applies to investment [...]

 
Posted by Bryan Hill
Thursday, October 29, 2009
Labels: Customer Complaint, Form U4, IAR Licensing

 

House Financial Services Committee Votes to Raise Assets Under Management for SEC Registration as Investment Adviser from $25 Million to $100 Million

Investment News is reporting that the Financial Services Committee of the U.S. House of Representatives passed today an amendment to the Investor Protection Act, H.R. 3817, whereby the general assets under management requirement to register with the U.S. Securities and Exchange Commission (“SEC”) as an investment adviser would increase from $25 million to $100 million. [...]

 
Posted by Bryan Hill
Thursday, October 29, 2009
Labels: Registration, SRO

 

Private Investment Advisers Registration Act is Passed by House Committee on Financial Services

The Financial Services Committee of the U.S. House of Representatives passed H.R. 3818, the Private Fund Investment Advisers Registration Act, which requires advisers to private funds to register with the U.S. Securities and Exchange Commission (“SEC”). The Wall Street Journal reported that the Committee agreed that private funds managing less than $150 million would be [...]

 
Posted by Bryan Hill
Wednesday, October 28, 2009
Labels: Hedge Funds, Registration

 

Upcoming Webinar: Supervising Gifts & Political Contributions of Investment Adviser Representatives

Although the U.S. Securities and Exchange Commission (“SEC”) does not currently have any specific rules associated with the giving or receiving gifts or political contributions by representatives affiliated with a federally registered investment adviser, the influencing of others through gifts and political contributions in the context of an investment advisory relationship creates a potential conflict [...]

 
Posted by Bryan Hill
Monday, October 26, 2009
Labels: Gifts, Political Contributions, Webinar

 

Is Your RIA Supervising the Gifts and Political Contributions of Its Investment Adviser Reps – Learn About the SEC’s Proposed Pay-to-Play Rule

The U.S. Securities and Exchange Commission (“SEC”) recently proposed new SEC Rule 206(4)-5 under the Investment Advisers Act of 1940. According to the SEC, the proposed rule is intended to curtail “pay to play” practices by registered investment advisers that seek to manage money for state and local governments. This SEC proposal relates to money [...]

 
Posted by Bryan Hill
Wednesday, October 7, 2009
Labels: Code of Ethics, Political Contributions, Webinar

 

NASAA President Appears on Fox News as an Advocate of Raising the AUM Requirement for SEC Registration as an Investment Adviser

Denise Voigt, the Texas Securities Commissioner and incoming President of the North American Securities Administrators Association (“NASAA”), recently appeared on Fox News to discuss why state securities regulators have the experience and will to take on more regulatory authority with respect to registered investment advisers. In particular, the Texas Securities Commissioner repeated her previous call [...]

 
Posted by Bryan Hill
Monday, October 5, 2009
Labels: Registration

 

A Registered Investment Adviser Needs to Ensure that Power of Attorney Over Client’s Account Is Limited

In order to trade or otherwise access a client’s account held by a custodian, a registered investment adviser must be granted written authorization by the client. Such authorization is generally granted in the form of a power of attorney. Although a power of attorney over a client’s account is necessary for a registered investment adviser [...]

 
Posted by Bryan Hill
Friday, October 2, 2009
Labels: Custody, Power of Attorney

 
  

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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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