by Ara Jabrayan | Apr 17, 2024 | Advertising, Chief Compliance Officer, Compliance Violations, Fines, Hypothetical Performance, Marketing Rule, policies and procedures, Registered Investment Advisers (RIAs), RIA Compliance, RIA Compliance Policies, SEC Investment Adviser Compliance, SEC NEWS, Website
The SEC sent another shot across the bow to warn Registered Investment Advisers (RIAs) that the Commission is deadly serious about enforcing the Marketing Rule. On April 12, 2024, the SEC charged five RIAs with violating the Marketing Rule. All of those firms agreed...
by Ara Jabrayan | Jan 22, 2024 | "Off-Channel" Communications, 13F, ADV Part 2B, Advertising, Best Execution, Books and Records, Chief Compliance Officer, compliance deficiencies, Compliance Violations, Conflicts of Interest, Custody Rule, Cybersecurity, Deficiencies, Division of Examinations, Duty of Care, Examination Priorities, Fee Calculations, Fiduciary Duty, Form ADV, FORM CRS/Form ADV Part 3, Form U4, Hypothetical Performance, Investment Adviser Representative, Investment Advisers Act, Marketing Rule, policies and procedures, Private Funds, Recordkeeping, Registered Investment Advisers (RIAs), Regulation Best Interest (BI), RIA Compliance, RIA Compliance Policies, Risk, SEC Investment Adviser Compliance, SEC NEWS, Suitability, Whistleblower, Wrap fee, Wrap Program
It has been a busy year for the SEC from a compliance perspective. You should think about these compliance events as you conduct your annual review of your firm’s policies and procedures. An adviser’s policies and procedures should reflect the firm’s business model,...
by Ara Jabrayan | Nov 21, 2023 | Books and Records, Chief Compliance Officer, compliance deficiencies, Compliance Violations, Crypto-Assets, Cybersecurity, Division of Enforcement, Division of Examinations, Hypothetical Performance, Investment Adviser Representative, policies and procedures, Press Releases, Private Funds, Registered Investment Advisers (RIAs), RIA Compliance, SEC NEWS, Social Media
On November 14, 2023, the SEC announced that it had filed 784 total enforcement actions during fiscal year 2023, a three percent increase over fiscal year 2022. Enforcement actions are intended to protect investors and enhance public trust in the securities markets....
by Ara Jabrayan | Sep 28, 2023 | Advertising, compliance deficiencies, Compliance Violations, Deficiencies, Division of Enforcement, Hypothetical Performance, Investment Adviser Representative, Marketing Rule, policies and procedures, Private Funds, Registered Investment Advisers (RIAs), Retail Investors, RIA Compliance, RIA Compliance Policies, Safeguards Rule, SEC Investment Adviser Compliance, SEC NEWS, Supervision Initiative
On September 11, 2023, the SEC continued its crackdown on Registered Investment Advisers (RIAs) using hypothetical performance advertising by bringing cases against nine advisers. RIAs that advertise hypothetical performance, or plan to do so, should read these SEC...
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