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Category Archives: Outside Business Activities

Form U4 Information for Investment Adviser Reps Now Available Online to Public via IAPD

Pursuant to Release 2010.2 published on June 28, 2010 by the Investment Adviser Registration Depository (“IARD”), the Investment Adviser Public Disclosure (“IAPD) database now allows users to search for investment adviser representatives.  Prior to the release, investment advisers and investment adviser representatives submitted registration and licensing information to the IARD; however, only information for investment [...]

 
Posted by Bryan Hill
Tuesday, June 29, 2010
Labels: Customer Complaint, Form U4, IAR Licensing, IARD, Outside Business Activities

 

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

 

FINRA’s Proposed Rule 3110 May Extend the Scope of Broker-Dealer Supervision of Investment Advisors

FINRA’s (The Financial Industry Regulatory Authority) proposed rule 3110 would expand the supervision responsibilities of broker-dealers by requiring broker-dealer principals to supervise business that the firm’s registered representatives engage in, regardless of whether such activity requires registration as a broker-dealer. The current FINRA rules require broker-dealer firms to designate a registered principal to supervise each [...]

 
Posted by Bryan Hill
Wednesday, July 16, 2008
Labels: Outside Business Activities

 

Ohio Prohibits Mortgage Brokers & Loan Officers From Obtaining Referral Fee From Affiliated Registered Investment Adviser

In the most recent quarterly Ohio Securities Bulletin, the Ohio Division of Securities, which is the regulator of state registered investment advisers in Ohio, noted a recent position taken by its sister division, the Ohio Division of Financial Institutions, which regulates banks and mortgage brokers, since it may have implications to registered investment advisers registered [...]

 
Posted by Bryan Hill
Sunday, July 1, 2007
Labels: Outside Business Activities, Solicitors

 

Outside Business Activities – Responsibility to Update Form ADV and Form U4

The establishment of sound policies and procedures aimed at monitoring the outside activities of its supervised persons (i.e. the advisor’s officers, directors, partners, investment advisor representatives, and employees) should be part of any firm’s written compliance programs. It is suggested that some type of “outside business activities form” be created and all supervised persons be [...]

 
Posted by Bryan Hill
Thursday, October 19, 2006
Labels: Form ADV, Form U4, Outside Business Activities

 

End of Year Compliance Items – Part 2

This is the second 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: Compliance Program, Financial Statements, Form ADV, Outside Business Activities

 
  

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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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