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

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Category Archives: PST

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

SEC Internal Compliance Program for Personal Securities Trading of Its Employees Is a Reminder to RIAs About Supervising PST of Its Access Persons

In a May 22, 2009 U.S. Securities and Exchange Commission (“SEC”) press release, Mary Schapiro, SEC Chairman, outlined new steps being taken to strengthen the SEC’s internal compliance program to guard against inappropriate personal securities trading by SEC employees. Previous internal rules for SEC employees prohibited, among other things, short selling, carrying securities on margin, [...]

Posted by Bryan Hill

Saturday, June 6, 2009

Labels: PST

First Quarter Personal Securities Transaction Reports

With the end of first quarter 2008, RIA Compliance Consultants would like to remind SEC registered investment advisors of their requirement to collect or prepare updated personal securities transaction reports from all access persons. The information on the reports must reflect transactions that took place during first quarter of 2008 and must officially be reported [...]

Posted by Bryan Hill

Monday, May 5, 2008

Labels: Compliance Program, Enforcement, PST

Third Quarter Personal Securities Transaction Reports

With the end of third quarter 2007, RIA Compliance Consultants would like to remind all SEC registered investment advisors of their requirement to collect or prepare updated personal securities transaction reports from all access persons. The information on the reports must reflect transactions that took place during the third quarter and must officially be reported [...]

Posted by Bryan Hill

Wednesday, October 24, 2007

Labels: PST

First Quarter 2007 Personal Securities Transactions

RIA Compliance Consultants, Inc. would like to remind all SEC registered advisor firms of their obligation to collect and review first quarter personal securities transactions. These reports should have been officially collected by the end of April. If your investment advisor firm has not collected its reports, please make sure you do so as soon [...]

Posted by Bryan Hill

Friday, May 11, 2007

Labels: Compliance Program, PST

Personal Securities Holdings and Transactions

Over the next several weeks, our electronic newsletter will be focusing upon some of those compliance requirements that every investment advisor firm should consider at the end of the year. Although we will attempt to identify some of the most common investment advisor requirements, it is important to recognize that there are different requirements among [...]

Posted by Bryan Hill

Wednesday, December 13, 2006

Labels: PST

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

Reportable Securities under the Codes of Ethics Rule

In an earlier blog posting, we discussed the fact that investment advisor firms must determine their access persons and ensure appropriate procedures are implemented to review all access persons’ household accounts. In their efforts to meet this requirement, many advisor firms have been asking exactly which types of securities holdings and transactions need to be [...]

Posted by Bryan Hill

Tuesday, July 19, 2005

Labels: Code of Ethics, 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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