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Category Archives: Books Records

Investment Advisers Should Expect More Frequent Regulatory Exams

With the upcoming regulatory switch of mid-sized investment advisers from the U.S. Securities and Exchange Commission (“SEC”) to state securities regulators and Congress considering whether to authorize a self-regulatory organization (“SRO”) for investment advisers, we believe that the frequency of investment adviser examinations is going to rise. During a regulatory exam, your investment adviser firm [...]

 
Posted by Bryan Hill
Tuesday, September 13, 2011
Labels: Books Records, Compliance Program, Compliance Training, Record Keeping, Regulatory Inspections, SEC Inspection

 

Maintaining Investment Advisor Books and Records

A registered investment advisor is required to make and keep true, accurate, and current certain books and records relating to its investment advisory business.  For investment advisors registered with the U.S. Securities and Exchange Commission (“SEC”), these required books and records are outlined in Rule 204-2 of the Investment Advisers Act of 1940 (“Advisers Act”).  Each investment advisor registered with the SEC [...]

 
Posted by Bryan Hill
Tuesday, July 12, 2011
Labels: Books Records, Record Keeping, Switch from SEC to State

 

An Investment Advisor Should Test Periodically Whether It Is Maintaining The Required Books & Records

A registered investment advisor is required to make and keep true accurate and current certain books and records relating to its investment advisory business.  For investment advisors registered with the U.S. Securities and Exchange Commission (SEC), these required books and records are outlined in Rule 204-2 of the Investment Advisers Act of 1940 (“Advisers Act”).  Each investment advisor registered with the SEC [...]

 
Posted by Bryan Hill
Tuesday, July 6, 2010
Labels: Books Records

 

SEC Initiates Enforcement Action Over Failure to Maintain Required Books and Records

Section 31(a) of the Investment Company Act of 1940 (“ Investment Company Act”) requires that each registered investment adviser “maintain and preserve” records of accounts, correspondence, memorandums, tapes, discs, papers, books, and other documents or transcribed information.  These books and records are to be maintained for a period of five years and are subject to [...]

 
Posted by Bryan Hill
Tuesday, June 29, 2010
Labels: Books Records, Enforcement, SEC, Webinar

 

Join Our Webinar – Maintaining Required Books & Records for a Registered Investment Adviser

If an examiner of the Securities and Exchange Commission (“SEC”) or a state securities regulator showed up in your registered investment adviser’s office tomorrow, could you provide all of the investment advisory books and records required by the examiner? Do you even know exactly what books and records a registered investment adviser is required to [...]

 
Posted by Bryan Hill
Friday, June 26, 2009
Labels: Books Records

 
  

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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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