Customized compliance policies and procedures
Securities examiners expect policies and procedures to be customized, which is why RIA Compliance Group tailors compliance manuals to our clients’ business models. These RIA Compliance policies and procedures are designed to protect investors and prevent violations of the securities laws, rules and regulations. By working closely with advisers and guiding them, the consultants at RIA Compliance Group help firms to establish the ground rules for investment adviser representatives and other associated persons.
Below are some of the principal topics that our compliance procedures address:
- Risk Assessment Procedures
- Business Continuity/Disaster Recovery Plans
- Code of Ethics
- Portfolio Management Procedures
- Insider Trading Policies
- Employee Trading Procedures
- Proxy Voting Procedures
- Privacy Policies
- Soft Dollar Policies
- Best Execution Procedures
- Information Security Programs
- Identity Theft Prevention Procedures
- Books and Records Creation and Retention Procedures
- Email Retention Policies
- Anti-Money Laundering Procedures
- Social Media Procedures
- Branch Office Policies
- Wrap Account Policies
RIA Compliance Group can also assist you with your annual review of your policies and procedures.
SEC NEWS
SEC NEWS
- SEC Announces Departure of Acting Enforcement Director Sanjay Wadhwaon January 17, 2025 at 10:02 pm
The Securities and Exchange Commission today announced that Sanjay Wadhwa, the Acting Director of the Division of Enforcement, will depart the agency, effective January 31, 2025, after more than 21 years of service with the Commission. “I thank […]
- SEC Charges Arete Wealth Broker-Dealer and Advisory Firms, Their Chief Compliance Officer, and Several Representatives in Connection With Illegal...on January 17, 2025 at 10:00 pm
The Securities and Exchange Commission today announced charges against Joey Miller, Jeff Larson, and Randy Larson, formerly dually registered personnel with Arete Wealth Management LLC, a broker-dealer, and Arete Wealth Advisors LLC, an affiliated…
- SEC Announces Record Enforcement Actions Brought in First Quarter of Fiscal Year 2025on January 17, 2025 at 9:06 pm
The Securities and Exchange Commission today announced that, based on its preliminary results, it filed 200 total enforcement actions in the first quarter of fiscal year 2025, which ran from October through December 2024, including 118 standalone…
- SEC Announces Departure of Public Affairs Head Scott Schneideron January 17, 2025 at 7:58 pm
The Securities and Exchange Commission today announced the departure of Scott Schneider, a counselor to Chair Gary Gensler and Director of the Office of Public Affairs (OPA), effective next month. Mr. Schneider has served in the role since April 19, […]
- SEC Policy Director Corey Klemmer to Step Downon January 17, 2025 at 6:20 pm
The Securities and Exchange Commission today announced that Corey Klemmer will step down from her role as Policy Director, a role she has held since May 2024. She joined the SEC as Corporation Finance Counsel to Chair Gary Gensler in July 2021. […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con January 19, 2025 at 10:05 pm
Proxy Rules and Schedules 14A/14C
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents