SEC Compliance Outreach Program – Date Set for National Seminar

February 14, 2018

The U.S. Securities and Exchange Commission (SEC) recently announced that its Compliance Outreach Program National Seminar for investment adviser firms will be held on Thursday, April 12, 2018 in Washington, DC.  This SEC event is designed to help chief compliance officer make improvements to his or her investment adviser firm’s compliance program.  For an employee of an SEC registered investment adviser firm to attend in person, he or she can register online at .  Additionally, the seminar will be broadcast live via the Internet which can be accessed at .

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Protecting Senior Investors

February 06, 2018

On Jan. 24, 2018 the United States House of Representatives passed the Senior Safe Act.  The Senior Safe Act (referred to as “the Act,” formerly H.R. 3758) encourages financial services firms to train employees  to spot elder abuse, while granting limited immunity to individuals at financial institutions who report such abuse to law enforcement or regulators in accordance with the Act.

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NASAA Investment Adviser Coordinated Examinations Report

January 24, 2018

In September 2017, The North American Securities Administrators Association (NASAA) released its 2017 Investment Adviser Coordinated Examinations Report. NASAA’s report looked at 1,227 routine investment adviser examinations of state registered investment advisers. Once again, the area with the most deficiencies was books and records. Almost two out of every three investment advisers examined (64.6%) reported a deficiency in books and records retention. 

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2018 Investment Adviser Conference

November 28, 2017

RIA Compliance Consultants will host its 2018 Investment Adviser Compliance Conference on August 22 and 23. Day 1 will consist of a half-day CCO training session with two tracks: one for advanced CCO’s and one for those just getting started. Day 2 will feature a series of informative presentations from our consultants on key topics in the world of investment adviser compliance. Early-bird registration for both days of the conference is available for the special price of $295.

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