by Ara Jabrayan | Apr 28, 2021 | Compliance Violations, Investment Adviser Representative, Registered Investment Advisers (RIAs), RIA Compliance, RIA Compliance Policies
On January 14, 2021, the SEC brought an enforcement action against a California-based Registered Investment Adviser (RIA) and its CEO, because they failed to make certain disclosures that led to clients being deceived. The firm also failed to reasonably supervise an...
by Ara Jabrayan | Apr 28, 2021 | Division of Examinations, Registered Investment Advisers (RIAs), RIA Compliance, Uncategorized
On March 3, 2021, the SEC’s Division of Examinations (Division) published its examination priorities for the year. These priorities are the driving force behind the Division’s examinations but are not exhaustive. Examiners may focus on other issues during an...
by Ara Jabrayan | Apr 28, 2021 | Advertising, De minimis exemption, Registered Investment Advisers (RIAs), RIA Compliance, SEC Investment Adviser Compliance, SEC Rules
On December 22, 2020, the SEC enacted the new Marketing Rule, which will have an enormous impact on Registered Investment Advisers (RIAs). The new rule will replace the prior Advertising Rule, as well as the Cash Solicitation Rule. The SEC also amended Form ADV and...
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