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SEC’s 2025 Examination Priorities Are a High Priority for RIAs, IARs, and CCOs

by | Feb 13, 2025 | Algorithm, Artificial Intelligence, Blockchain, Books and Records, Broker-Dealer, Business Continuity and Disaster Recovery Plans, Chief Compliance Officer, Client Relationship Summary, Compliance Violations, Conflicts of Interest, Crypto-Assets, Cybersecurity, Digital, Division of Examinations, Dually Licensed, Examination Priorities, fees, Fiduciary Duty, FORM CRS/Form ADV Part 3, Investment Adviser Representative, Marketing Rule, policies and procedures, Private Funds, Registered Investment Advisers (RIAs), Regulation Best Interest (BI), Regulation S-ID, Regulation S-P, RIA Compliance, RIA Compliance Policies, Standards of Conduct, Uncategorized

On October 21, 2024, the SEC’s Division of Examinations (Division) published its fiscal year priorities for 2025. This annual publication contains information that will be particularly important to Registered Investment Advisers (RIAs), Investment Adviser...

SEC Risk Alert Gives Guidance on How RIAs Can Comply with Regulation S-ID

by | 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...

Three Firms Flagged by SEC for Identity Theft Red Flags Rule Violations

by | Aug 2, 2022 | Compliance Violations, policies and procedures, Regulation S-ID, RIA Compliance, RIA Compliance Policies, SEC Investment Adviser Compliance

Regulation S-ID, commonly known as the Identity Theft Red Flags Rule, is designed to help protect investors from the risks of identity theft. Red flags are defined as a pattern, practice, or specific activity indicating the possible existence of identity theft....