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 Extends Comment Period for Proposed Rules on Climate-Related Disclosures, Reopens Comment Periods for Proposed Rules Regarding Private Fund...on May 9, 2022 at 3:00 pm
The Securities and Exchange Commission today announced that it has extended the public comment period on the proposed rulemaking to enhance and standardize climate-related disclosures for investors until June 17, 2022. The SEC also announced that it […]
- SEC Halts Fraudulent Cryptomining and Trading Schemeon May 6, 2022 at 3:45 pm
The Securities and Exchange Commission today announced fraud charges against MCC International Corp. (MCC), which does business as Mining Capital Coin Corp., its founders Luiz Carlos Capuci, Jr. (aka Junior Caputti or Capuci) and Emerson Souza Pires […]
- SEC Issues Nearly $3.5 Million Award to Four Whistleblowerson May 6, 2022 at 2:30 pm
The Securities and Exchange Commission today announced a total award of nearly $3.5 million to four whistleblowers who provided information and assistance in a single covered action.Three joint whistleblowers provided Commission staff with […]
- SEC Charges NVIDIA Corporation with Inadequate Disclosures about Impact of Cryptominingon May 6, 2022 at 1:00 pm
The Securities and Exchange Commission today announced settled charges against technology company NVIDIA Corporation for inadequate disclosures concerning the impact of cryptomining on the company’s gaming business.The SEC’s order finds that, […]
- SEC Nearly Doubles Size of Enforcement’s Crypto Assets and Cyber Uniton May 3, 2022 at 9:00 am
The Securities and Exchange Commission today announced the allocation of 20 additional positions to the unit responsible for protecting investors in crypto markets and from cyber-related threats. The newly renamed Crypto Assets and Cyber Unit […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- IndexIQ Active ETF Truston May 11, 2022 at 4:25 pm
Response of the Office of Mergers and Acquisitions
- Imperial Oil Ltd.on May 4, 2022 at 8:10 pm
Response of the Office of Mergers and Acquisitions
- Sample Letter to Companies Regarding Disclosures Pertaining to Russia's Invasion of Ukraine and Related Supply Chain Issueson May 3, 2022 at 9:15 pm
Other Staff Guidance and Sample Comment Letters
- BTIG, LLCon May 2, 2022 at 5:45 pm
Regulation D - Rule 506(d) Waivers of Disqualification
- Principal ETFson April 11, 2022 at 10:25 pm
Response of the Office of Mergers and Acquisitions