by Ara Jabrayan | Jan 10, 2023 | Best Execution, Books and Records, Business Continuity and Disaster Recovery Plans, Chief Compliance Officer, compliance deficiencies, Compliance Violations, Conflicts of Interest, Examination Priorities, Fiduciary Duty, Form ADV, FORM CRS/Form ADV Part 3, Investment Adviser Code of Ethics, North American Securities Administrators Association (NASAA), policies and procedures, Press Releases, Registered Investment Advisers (RIAs), RIA Compliance, RIA Compliance Policies, Solicitation, Standards of Conduct, State Investment Adviser Compliance
Recently the North American Securities Administrators Association (NASAA) released its annual Enforcement Report. The publication highlighted the investigations and enforcement actions taken by state securities regulators to protect investors and maintain the... by Ara Jabrayan | Nov 8, 2019 | De minimis exemption, Investment Adviser Representative, Registered Investment Advisers (RIAs), RIA Compliance, SEC Investment Adviser Compliance, SEC Rules, State Investment Adviser Compliance, Texas
This year alone, the Texas State Securities Board has fined 4 Registered Investments Advisers (RIAs) for providing investment advice to Texas based clients without a proper registration or state notice filing. We would like to remind clients that they need to be... by Ara Jabrayan | Sep 19, 2019 | Cyberattack, Cybersecurity, Regulation S-P, RIA Compliance, State Investment Adviser Compliance
As you may know, cyberattacks on an organization’s data information systems have been increasing at exponential rates throughout every industry. The financial services industry is increasingly victim to these crimes due to the proximity to investment capital and... by Ara Jabrayan | Sep 19, 2019 | Examination Priorities, Investment Adviser Representative, North American Securities Administrators Association (NASAA), Registered Investment Advisers (RIAs), RIA Compliance, SEC Cybersecurity, SEC Investment Adviser Compliance, State Investment Adviser Compliance
Sample data from state securities examiners is collected every two years and is reported voluntarily to The North American Securities Administrators Association’s (NASAA) Investment Adviser Operations Project Group. At its recent annual meeting, NASAA has recently... by Ara Jabrayan | Aug 22, 2019 | Examination Priorities, Registered Investment Advisers (RIAs), RIA Compliance, SEC Investment Adviser Compliance, State Investment Adviser Compliance
Investment adviser routine examination programs and types of exams vary by state. Some are conducted online; some are conducted offsite; and, some are conducted onsite. The SEC conducts various types of routine examinations ranging from limited-scope, remote... by Ara Jabrayan | Aug 22, 2019 | Registered Investment Advisers (RIAs), RIA Compliance, RIA Compliance Policies, State Investment Adviser Compliance
In a recent regulatory newsletter to registered investment advisers (RIAs), the Colorado Division of Securities (the Division) provided guidance to RIAs that offer ongoing financial planning services under a fixed or flat retainer fee. The Division reminded RIAs that...
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