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
- Brazilian Mining Company to Pay $55.9 Million to Settle Charges Related to Misleading Disclosures Prior to Deadly Dam Collapseon March 28, 2023 at 10:25 pm
The Securities and Exchange Commission today announced that Vale S.A., a publicly traded Brazilian mining company and one of the largest iron ore producers in the world, agreed to pay $55.9 million to settle charges brought last April stemming from […]
- SEC Obtains Emergency Relief Against Long Island Investment Adviser and Firm Charged with Fraudon March 27, 2023 at 9:01 pm
The Securities and Exchange Commission today charged former broker Surage Kamal Roshan Perera and his firm, Janues Capital Incorporated, with defrauding at least one investor out of millions by lying about investment opportunities and strategies,…
- SEC Charges Three Sales Agents at StraightPath Venture Partners With Fraud and Unregistered Broker Activityon March 23, 2023 at 4:40 pm
The Securities and Exchange Commission today charged Scott Hollender, Gabriel Migliano, Jr., and Frank Vecchio for selling interests in shares of pre-IPO companies on behalf of StraightPath Venture Partners LLC, despite not being registered […]
- SEC Charges Financial Adviser for Misappropriating More Than $1 Million From Current, Former NBA Playerson March 23, 2023 at 2:57 pm
The Securities and Exchange Commission today charged Darryl Matthew Cohen, a former investment adviser at a large financial institution, with misappropriating more than $1 million from three current and former NBA players over a period of two and a […]
- SEC Charges Crypto Entrepreneur Justin Sun and his Companies for Fraud and Other Securities Law Violationson March 22, 2023 at 7:53 pm
The Securities and Exchange Commission today announced charges against crypto asset entrepreneur Justin Sun and three of his wholly-owned companies, Tron Foundation Limited, BitTorrent Foundation Ltd., and Rainberry Inc. (formerly BitTorrent), for […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con March 29, 2023 at 9:14 am
Proxy Rules and Schedules 14A/14C
- Update to Tender Offer Rules and Schedules C&DIson March 17, 2023 at 2:30 pm
Tender Offer Rules and Schedules
- Announcement Regarding Extension of EDGAR Filing Hours and Notice of End of Email Filing Option for Form 144on March 3, 2023 at 5:55 pm
EDGAR Filing Hours and Form 144
- Regulation S-K, Section 228D. Items 402(v) ? Pay Versus Performanceon February 10, 2023 at 10:00 pm
Question 228D.01
- Regulation S-K, Section 128D. Item 402(v) - Pay versus performanceon February 10, 2023 at 10:00 pm
Question 128D.01