by RIA Compliance | Jan 14, 2016 | Code of Ethics, Investment Adviser Code of Ethics, RIA Compliance, SEC Cybersecurity, SEC Investment Adviser Compliance
In what has become a January tradition, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced its compliance priorities for the coming year. Registered Investment Advisers and broker-dealers should take note of these priorities as they...
by RIA Compliance | Dec 22, 2015 | RIA Compliance, SEC Investment Adviser Compliance, SEC Rules
Implementing thorough and effective compliance policies and procedures can help Registered Investment Advisers (“RIAs”) avoid compliance problems. Rule 206(4)-7 under the Investment Advisers Act of 1940, better known as the Compliance Program Rule, requires RIAs to...
by RIA Compliance | Dec 15, 2015 | Gramm-Leach-Bliley Act, RIA Compliance, SEC Cybersecurity, SEC Investment Adviser Compliance, SEC Rules
On December 4, 2015, President Obama signed a highway bill into law, which tacked on an exception to the annual privacy notice requirement for financial institutions that satisfy certain conditions. In legislation that can only be understood by Washington, D.C....
by RIA Compliance | Nov 19, 2015 | Form ADV, RIA Compliance, SEC Investment Adviser Compliance, SEC Rules, State Investment Adviser Compliance
It appears that many investment advisers are still unclear about the intent and use of Form ADVs. The purpose of this post is to provide a Form ADV primer. Introduction to the Form ADV Form ADV Part 1 contains registration information. ADV Part 2A of the Form ADV is...
by RIA Compliance | Oct 29, 2015 | Code of Ethics, RIA Compliance, SEC Investment Adviser Compliance, SEC Rules, State Investment Adviser Compliance
On October 22, 2015, the SEC announced its enforcement results for Fiscal Year 2015, including a number of first-of-their-kind cases. Chief Compliance Officers (“CCOs”) play an important role in preventing a Registered Investment Adviser (“RIA”) from becoming an...
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