by Ara Jabrayan | Sep 23, 2020 | Code of Ethics, Press Releases
Most investment advisers are aware of the obligations they owe to clients who are experiencing cognitive decline. Typically, Registered Investment Advisers (RIAs) implement policies and procedures that articulate how Investment Adviser Representatives should handle... by Ara Jabrayan | Aug 22, 2019 | Examination Priorities, Investment Adviser Representative, Investment Advisers Act, Office of Compliance Inspections and Examinations (OCIE), Press Releases, RIA Compliance, RIA Compliance Policies, SEC Cybersecurity, SEC Investment Adviser Compliance, SEC Rules, State Investment Adviser Compliance
The SEC’s Office of Compliance Inspections and Examinations (OCIE) publishes annually its examination priorities to promote transparency and provide insights into the areas it believes pose a heightened risk to investors or to the integrity of the U.S. capital... by Ara Jabrayan | Aug 21, 2019 | Investment Adviser Representative, Investment Advisers Act, Press Releases, RIA Compliance, RIA Compliance Policies, SEC Investment Adviser Compliance, SEC Rules
On July 10, 2018, the SEC settled enforcement actions brought against two SEC-Registered Investment Advisers (RIAs), three Investment Adviser Representatives (IARs), and a marketing consultant, for their involvement in violating the Testimonial Rule using social media... by Ara Jabrayan | Aug 21, 2019 | Office of Compliance Inspections and Examinations (OCIE), Press Releases, RIA Compliance, RIA Compliance Policies, SEC Investment Adviser Compliance, SEC Rules
On April 12, 2018, the Office of Compliance Inspections and Examinations (“OCIE”) issued a National Exam Program risk alert in which it outlined the most frequent advisory fee and expense compliance issues identified in deficiency letters sent to... by Ara Jabrayan | Aug 21, 2019 | Cherry-Picking, Press Releases, RIA Compliance, SEC Investment Adviser Compliance, SEC Rules
Allocating favorable trades consistently to certain accounts, while consistently allocating less favorable trades to other accounts is an unethical practice that will cause serious problems for Registered Investment Advisers (RIAs) and Chief Compliance Officers... by Ara Jabrayan | Aug 21, 2019 | Conflicts of Interest, Office of Compliance Inspections and Examinations (OCIE), Press Releases, RIA Compliance, Robo-Advisers, SEC Cybersecurity, SEC Investment Adviser Compliance, SEC Rules
Each year, the SEC’s Office of Compliance Inspections and Examinations (OCIE) publishes its priorities, and 2018 is no exception. On February 7, 2018, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published its 2018 examination...
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