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

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Category Archives: Compliance Training

Investment Adviser Compliance Tip – Supervising Personal Securities Transactions

When establishing a compliance program, an investment adviser is required to review and monitor the personal securities transactions by “access persons” in order to prevent inappropriate trading. In order to supervise personal securities transactions, the first question is determining which individuals are access persons. The U.S. Securities and Exchange Commission (“SEC”) defines an “access person” [...]

Posted by Bryan Hill

Monday, July 25, 2011

Labels: Compliance Program, Compliance Training, PST, Record Keeping

One-Day Audits Being Conducted on Newly Registered SEC Investment Advisers

The U.S. Securities and Exchange Commission (SEC) has been examining certain recently registered investment advisers by conducting limited scope, one-day examinations. According to the SEC’s cover letter sent in advance of these audits, “the purpose of these examinations is to assess and discuss important risk areas presented be the registered investment advisers’ operations and the [...]

Posted by Bryan Hill

Thursday, May 22, 2008

Labels: Compliance Training, Regulatory Inspections, SEC

Attention SEC Registered Investment Advisors: Are You in Compliance with Your Home State’s Rules?

If your firm is registered with the SEC, RIA Compliance Consultants wants you to be aware that the Investment Advisers Act of 1940 provides state regulators authority over federally registered investment advisors and their employees, albeit on a limited scope. Many SEC firms believe that because they are not registered with a state regulator, they [...]

Posted by Bryan Hill

Friday, July 13, 2007

Labels: Compliance Training, SEC

Compliance Training

Our next installment of the “Year-End Compliance Tips” series is a reminder to advisors about compliance training. This time of year is a great time to hold compliance training for all employees and representatives. This is because many firms implement new policies or advisory programs set to take effect at the beginning of the year. [...]

Posted by Bryan Hill

Wednesday, December 20, 2006

Labels: Compliance Training

End of Year Compliance Items – Part 3

This is the third entry in a series of blogs RIA Compliance Consultants is posting concerning annual compliance requirements and end of year filings. While we are trying to touch upon the items that all advisor firms are required to complete, it is important that you refer to your regulatory authority to ensure you have [...]

Posted by Bryan Hill

Monday, January 2, 2006

Labels: Code of Ethics, Compliance Program, Compliance Training, PST



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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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