by Ara Jabrayan | Jan 20, 2017 | Code of Ethics, Division of Investment Management News, Fiduciary Duty, Investment Adviser Code of Ethics, Press Releases, RIA Compliance, RIA Compliance Policies, SEC Cybersecurity, SEC Investment Adviser Compliance, SEC Rules
Each year, the SEC’s Office of Compliance Inspections and Examinations (OCIE) publishes its priorities, and 2017 is no exception. On January 12, 2017, OCIE announced its examination priorities. Registered Investment Advisers (RIAs) and other financial entities will...
by RIA Compliance | Jan 14, 2016 | Code of Ethics, Investment Adviser Code of Ethics, RIA Compliance, RIA Compliance Polciies, 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 15, 2015 | Gramm-Leach-Bliley Act, RIA Compliance, RIA Compliance Polciies, 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 | Sep 28, 2015 | Code of Ethics, RIA Compliance, RIA Compliance Polciies, SEC Cybersecurity, SEC Investment Adviser Compliance, SEC Rules
After repeated warnings to Registered Investment Advisers (“RIAs”) regarding the importance of protecting their clients from cyber threats, the SEC sent an even clearer message to advisory firms. On September 22, 2015, the SEC charged an RIA with failing to adopt...
by RIA Compliance | Aug 21, 2015 | RIA Compliance, RIA Compliance Polciies, SEC Cybersecurity, SEC Investment Adviser Compliance, SEC Rules, State Investment Adviser Compliance
In recent Compliance Outreach Seminars, SEC examiners have announced that they will be scrutinizing investment advisers’ efforts to protect their clients’ sensitive information from cyber threats. State examiners have also started questioning investment advisers about...
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