by Ara Jabrayan | Nov 21, 2023 | Account Recommendations, Best Execution, Books and Records, Business Continuity and Disaster Recovery Plans, Chief Compliance Officer, Compliance Violations, Conflicts of Interest, Cyberattack, Cybersecurity, Division of Enforcement, Division of Examinations, Duty of Care, Examination Priorities, Fiduciary Duty, Form ADV, policies and procedures, Private Funds, Registered Investment Advisers (RIAs), RIA Compliance, RIA Compliance Policies, Risk, SEC Cybersecurity, SEC Investment Adviser Compliance, SEC NEWS, SEC Rules, Suitability
On October 16, 2023, Registered Investment Advisers (RIAs) and other regulated firms received sooner-than-expected guidance from the SEC when the Commission published its 2024 examination priorities. The SEC previously announced its 2023 examination priorities on... by Ara Jabrayan | Aug 30, 2023 | Best Execution, Books and Records, Chief Compliance Officer, Client Relationship Summary, Code of Ethics, Fee Calculations, Fiduciary Duty, Investment Adviser Code of Ethics, Investment Adviser Representative, policies and procedures, Private Funds, RIA Compliance, RIA Compliance Policies, SEC Investment Adviser Compliance, SEC Rules, Standards of Conduct, Wrap fee
On August 23, 2023, the SEC adopted new rules and rule amendments to enhance the regulation of private fund advisers. The SEC also updated Rule 206(4)-7 under the Investment Advisers Act, better known as the Compliance Rule, which applies to all Registered Investment... by Ara Jabrayan | May 15, 2023 | 12b-1 Fees, Account Recommendations, Best Execution, Chief Compliance Officer, Client Relationship Summary, Code of Ethics, DOL Fiduciary Rule, Duty of Care, ERISA, Fiduciary Duty, Investment Adviser Code of Ethics, Investment Adviser Representative, Investment Advisers Act, policies and procedures, Registered Investment Advisers (RIAs), Regulation Best Interest (BI), Retail Investors, RIA Compliance, Risk, Robo-Advisers, SEC Investment Adviser Compliance, SEC Staff Bulletin, Standards of Conduct, State Investment Adviser Compliance, Suitability
On April 20, 2023, the SEC published a staff bulletin in a question-and-answer format to reinforce the standards of conduct owed by broker-dealers and Registered Investment Advisers (RIAs) when they are giving investment advice and making recommendations to retail... by Ara Jabrayan | Apr 6, 2023 | Advertising, Best Execution, Books and Records, Chief Compliance Officer, Client Relationship Summary, Code of Ethics, compliance deficiencies, Conflicts of Interest, Duty of Care, Examination Priorities, Fiduciary Duty, Form U4, Investment Adviser Code of Ethics, Investment Adviser Representative, Office of Compliance Inspections and Examinations (OCIE), policies and procedures, Press Releases, Registered Investment Advisers (RIAs), Regulation Best Interest (BI), RIA Compliance, RIA Compliance Policies, Safeguards Rule, SEC Investment Adviser Compliance, Social Media, Social Media White Paper, Solicitation, Standards of Conduct, State Investment Adviser Compliance
On March 27, 2023, the SEC’s Division of Examinations (Division) published a Risk Alert that will be of great interest to newly-registered investment advisers. The observations will also be invaluable to investment advisers that have been in business for some years.... by Ara Jabrayan | Apr 6, 2023 | Best Execution, Books and Records, Chief Compliance Officer, Compliance Violations, Crypto-Assets, Cyberattack, Cybersecurity, Deficiencies, Division of Enforcement, Division of Examinations, Duty of Care, Emerging Technologies, Environmental, Examination Priorities, Fiduciary Duty, Form ADV, Investment Adviser Code of Ethics, Investment Adviser Representative, Office of Compliance Inspections and Examinations (OCIE), policies and procedures, Press Releases, Private Funds, Registered Investment Advisers (RIAs), Regulation Best Interest (BI), RIA Compliance, RIA Compliance Policies, SEC Cybersecurity, SEC Investment Adviser Compliance, SEC NEWS, SEC Rules, SEC Staff Bulletin, Social and Governance (ESG), Standards of Conduct
On February 7, 2023, the SEC’s Division of Examinations announced its 2023 examination priorities. These examination priorities are published annually to provide insights into the SEC’s risk-based approach. The publication also identifies areas that present potential... by Ara Jabrayan | Jan 10, 2023 | Best Execution, Books and Records, Chief Compliance Officer, Code of Ethics, compliance deficiencies, Compliance Violations, Cybersecurity, Deficiencies, Division of Enforcement, Division of Examinations, Duty of Care, Examination Priorities, Fiduciary Duty, Investment Adviser Code of Ethics, Investment Adviser Representative, policies and procedures, Press Releases, Registered Investment Advisers (RIAs), Regulation S-ID, RIA Compliance, RIA Compliance Policies, Safeguards Rule, SEC Cybersecurity, SEC Investment Adviser Compliance, SEC NEWS, SEC Rules, Standards of Conduct, Supervision Initiative
On December 5, 2022, the Division of Examinations (Division) published a Risk Alert that reported observations from recent examinations of SEC-registered investment advisers (RIAs) and broker-dealers related to their compliance with Regulation S-ID. The goal of the...
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