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SEC Warns RIAs After Failing to Comply With Rules Regarding Electronic Communications

OCIE Risk Alert - Recent examination focuses on advisor violations of Books and Records and other Regulatory Compliance Rules.
 
Why Filing Your Forms in a Timely Manner, Matters. Let’s face it; form filing isn’t likely to be voted the most exciting task to do in your firm. Due to frequent changes within the organization and its employees, filing... [...] Read more
Dually Registered IA & Brokers Dealers: A Common Combination, But Is It In the Best Interest of Clients? Dually registered investment adviser/broker-dealers are fairly common in the industry. This type of arrangement allows for the registered entity to offer both transactional and fee-based services, theoretically, based on the... [...] Read more
September 27 2019
A Special Opportunity: How an Investment Adviser Defrauded Clients Due to the high level of trust clients place in Investment Advisers, the fiduciary duty of an Adviser can’t be overstated. That’s why when we hear about an Adviser purposefully... [...] Read more
Does Reg BI Violate the Advisers Act? With industry groups failing to take the initiative in challenging the new Regulation Best Interest Advice (Reg BI), Michael Kitces and Alan Moore of XY Planning seek to take on... [...] Read more
Acting as Fiduciaries: One Investment Adviser Ignores Compliance for Personal Gain As fiduciaries, Investment Advisers know they are ethically and legally obligated to place the interests of clients ahead of their own. Advisers also understand that the SEC provides oversight to... [...] Read more
Growth & Supervision One perk of being a smaller investment firm is not having to stress over the supervision of multiple registered investment adviser representatives (IARs). However, with growth comes increased responsibility, especially... [...] Read more