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

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Category Archives: Pensions

SEC Proposes Ban of Political Contributions by Registered Investment Advisers Seeking to Manage Public Pensions

Earlier this week, the U.S. Securities and Exchange Commission (“SEC”) proposed a new rule prohibiting “pay to play” practices by SEC registered investment advisers seeking to manage money for state and local governments. The SEC explained that “[t]he measures are designed to prevent an [investment] adviser from making political contributions or hidden payments to influence [...]

Posted by Bryan Hill

Friday, July 24, 2009

Labels: Pensions, Political Contributions

Investment Advisers Should Review Insider Trading Policies & Procedures

Although the recent report concerning possible insider trading by a public pension plan administrator conducted by the Division of Enforcement of the U.S. Securities and Exchange Commission (“SEC”) involves an essentially unregulated money manager which is not subject to the Investment Advisers Act of 1940, it still offers an excellent opportunity for each registered investment [...]

Posted by Bryan Hill

Saturday, March 8, 2008

Labels: Insider Trading, Pensions, SEC

SEC & DOL Provide Plan Fiduciaries with Questions for Pension Consultants

If your firm serves as a pension plan consultant, then you should be prepared to answer the questions recently offered by the SEC and Dept. of Labor (DOL) to plan fiduciaries. As explained by the SEC, investment advisors that provide consulting services to pension plans have a fiduciary duty to offer “disinterested” advice and fully [...]

Posted by Bryan Hill

Sunday, June 5, 2005

Labels: Pensions

Pension Consulting – Follow the Money!

With the SEC’s recent focus upon pension consulting, it’s incumbent upon the chief compliance officers of investment advisors to review again whether their firms are properly disclosing the conflicts of interest that may exist with their pension consulting services and then supervising, mitigating and/or eliminating such conflicts. Since the relationships and apparent methods for compensation [...]

Posted by Bryan Hill

Friday, May 20, 2005

Labels: Pensions

SEC Warns Investment Advisors That Conflicts Related to Pension Consultants Need to Disclosed & Mitigated

Does your investment advisory firm serve as a pension consultant? If so, then you need to carefully review the Staff Report Concerning Examinations of Select Pension Consultants released by the SEC on Monday, May 16, 2005. The SEC advises that many pension consultants/investment advisors examined as part of its sweep have incorrectly concluded that they [...]

Posted by Bryan Hill

Tuesday, May 17, 2005

Labels: Pensions



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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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