by RIA Compliance | May 21, 2015 | Form ADV, RIA Compliance, SEC Investment Adviser Compliance, SEC Rules
On May 20, 2015, The Securities and Exchange Commission proposed rules, forms and amendments to modernize and enhance the reporting and disclosure of information by investment companies and investment advisers. The new rules would enhance the quality of information...
by RIA Compliance | May 14, 2015 | SEC Investment Adviser Compliance, Uncategorized
The SEC has made it clear that cybersecurity should be a high priority for Registered Investment Advisers (RIAs). On February 3, 2015, the SEC released a publication that addresses cybersecurity at RIAs and brokerage firms. The Risk Alert from the SEC’s Office of...
by RIA Compliance | May 14, 2015 | State Investment Adviser Compliance
On April 13, 2015, the North American Securities Administrators Association (NASAA) adopted a model rule, which requires state-registered investment advisers to establish a business continuity and succession plan (BCP). NASAA’s model rule, which must be adopted on a...
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