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Monthly Archives May 2010

Wisconsin Enacts Securities Law that Toughens Penalties for Violations By Investment Advisors Against Seniors

Wisconsin has enacted a law which enhances the penalties for violations of the Wisconsin Securities Act if the violations occur against an individual who is 65 years of age or older.  The Wisconsin Securities Act prohibits various forms of fraud in connection with the sale or offering of securities or any other securities transactions.  Specifically, [...]

 
Posted by Bryan Hill
Tuesday, May 18, 2010
Labels: Criminal, Seniors

 

Basic Training for a New Chief Compliance Officer of a Registered Investment Adviser

SEC Rule 206(4)-7 under the Investment Advisers Act of 1940 (Investment Advisers Act) requires an investment adviser registered with U.S. Securities and Exchange Commission (“SEC”) to appoint an individual to serve as the Chief Compliance Officer (CCO).  The CCO must be an individual who is competent and knowledgeable regarding the Investment Advisers Act, should be [...]

 
Posted by Bryan Hill
Friday, May 14, 2010
Labels: Uncategorized

 

SEC Will Consider Adopting New Version of Form ADV Part 2

During the keynote address at the Compliance and Legal Society of the Securities Industry and Financial Markets Association 2010 Annual Seminar on May 6, 2010 (click here to read the entire speech), Mary Shapiro, the Chairman of the U.S. Securities and Exchange Commission (“SEC”), stated that her staff is preparing to present to the full [...]

 
Posted by Bryan Hill
Tuesday, May 11, 2010
Labels: ADV Part 2, Fiduciary, SEC

 

SEC Commissioner indicates SEC to Re-Consider New Form ADV Part 2 for Investment Advisers

In a speech at the Investment Adviser Association Annual Conference on April 29, 2010 (click here to read the entire speech), Luis Aguilar, Commissioner at the United States Securities and Exchange Commission (SEC), stated the SEC is expected to soon revisit proposed changes to Form ADV Part II.   According to Commissioner Aguilar, “the need to update [...]

 
Posted by Bryan Hill
Tuesday, May 4, 2010
Labels: ADV Part 2, SEC

 

Exercise Care When Using the Term “Registered Investment Adviser”

When holding itself out to the public, an investment adviser should not imply that the U.S. Securities and Exchange Commission (SEC), a state securities regulator or another governmental agency has sponsored, recommended or approved the firm, based upon its registration. For example, an investment advisor should not use the term “Registered Investment Adviser” to imply [...]

 
Posted by Bryan Hill
Tuesday, May 4, 2010
Labels: Advertising, 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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