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 Charges Two Companies and Their Principals with Misleading Investors in More Than a Dozen Oil and Gas Securities Offeringson September 24, 2021 at 6:12 pm
The Securities and Exchange Commission today charged Thomas Powell and Stefan Toth, and their entities, Resolute Capital Partners LTD LLC and Homebound Resources LLC, with making material misrepresentations and omissions in connection with more than […]
- SEC Awards Approximately $36 Million to Whistlebloweron September 24, 2021 at 2:59 pm
The Securities and Exchange Commission today announced an award of approximately $36 million to a whistleblower whose information and assistance significantly contributed to the success of an SEC enforcement action as well as actions by another […]
- SEC Charges World's Largest Advertising Group with FCPA Violationson September 24, 2021 at 12:58 pm
The Securities and Exchange Commission today announced that London-based WPP plc, the world's largest advertising group, has agreed to pay more than $19 million to resolve charges that it violated the anti-bribery, books and records, and internal…
- SEC Issues Agenda for Sept. 27 Meeting of the Asset Management Advisory Committeeon September 23, 2021 at 7:13 pm
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- SEC Charges Principals of Subprime Automobile Finance Company with Fraudon September 23, 2021 at 6:02 pm
The Securities and Exchange Commission today announced fraud charges against two former executives of a subprime automobile finance company for misleading investors about the subprime automobile loans that backed its $100 million offering.The […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Sample Letter to Companies Regarding Climate Change Disclosureson September 22, 2021 at 6:00 pm
Other Staff Guidance and Sample Comment Letters
- The Advisors' Inner Circle Fundon September 22, 2021 at 3:20 pm
Response of the Office of Mergers and Acquisitions
- Schwab Strategic Truston September 14, 2021 at 9:20 pm
Response of the Office of Mergers and Acquisitions
- Huntington Bancshares Incorporatedon June 24, 2021 at 10:45 pm
Waiver Request of Ineligible Issuer Status under Rule 405 of the Securities Act of 1933
- BRP, Inc.on June 23, 2021 at 4:10 pm
Response of the Office of Mergers and Acquisitions