Category Archives: Webinar
The U.S. Securities and Exchange Commission (“SEC”) recently issued an Order Instituting Administrative and Cease-and-Desist Proceedings against Calhoun Asset Management, LLC (“Calhoun”) and its principal for, among other things, making false and misleading statements on Calhoun’s Form ADV. According to the Order, the firm’s principal allegedly grossly misstated Calhoun’s assets under management on the firm’s [...]
Posted by Bryan Hill
Wednesday, January 11, 2012
Earlier this year, the U.S. Securities and Exchange Commission (“SEC”) adopted Rule 203A-5 to implement changes to SEC registration criteria, including increasing the assets under management threshold for SEC registration from $25 million to $100 million. In order to convert to the new standards for SEC registration, the SEC is requiring all investment advisor firms [...]
Posted by Bryan Hill
Wednesday, November 2, 2011
RIA Compliance Consultants is committed to providing quality webinars filled with informative regulatory tips and up to date compliance matters. In efforts to ensure our clients are receiving the best possible webinar presentations, we have compiled a short, six question survey that we ask you take the time to complete. Your answers will help us [...]
Join our senior compliance consultant, Tammy Emsick, as she discusses the upcoming regulatory switch for mid-sized investment advisors in today’s advisors4advisors.com webinar. To join click here. Note: advisors4advisors.com does require users to register as a member; however, members of advisors4advisors.com can replay any webinar 24/7.
Your investment adviser’s chief compliance officer (“CCO”) must be knowledgeable regarding the Investment Advisers Act of 1940, competent in regard to administering your compliance program and empowered to enforce compliance with your policies and procedures. Your investment adviser’s CCO is responsible for administering your investment advisers’ policies and procedures. This does not necessarily mean that [...]
The United States Securities and Exchange Commission (“SEC”) recently adopted the long-awaited amendments to Part 2 of Form ADV and related rules under the Investment Advisers Act of 1940. The Form ADV Part 2 amendments will require all investment advisors registered with the SEC to prepare and file plain English narrative brochures and supplements. SEC [...]
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 [...]
When holding itself out to the public, an investment adviser should not imply that the U.S. Securities and Exchange Commission (SEC), a state securities regulator or another governmental agency has sponsored, recommended or approved the firm, based upon its registration. For example, an investment advisor should not use the term “Registered Investment Adviser” to imply [...]
Does your registered investment advisor have strong supervisory and compliance procedures designed to approve and monitor adverting and marketing materials? Did you know that an the advertising and marketing materials of an investment advisor registered with the U.S. Securities and Exchange Commission (“SEC”) fall under the anti-fraud provision of the Investment Advisers Act of 1940? [...]
Has your registered investment adviser firm gone beyond developing a privacy policy under Regulation S-P and established internal controls to protect confidential client information? This is the emerging expectation of state and federal securities regulators. For instance, the State of Massachusetts recently adopted a comprehensive and restrictive set of requirements to prevent client data security [...]
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