by Ara Jabrayan | Jan 24, 2022 | ADV Part 2A, compliance deficiencies, Fiduciary Duty, Registered Investment Advisers (RIAs), Uncategorized
On January 11, 2022, a Registered Investment Adviser (RIA) in Rockaway, New Jersey, consented to the entry of an SEC order that sanctioned the firm for several compliance deficiencies. The RIA also agreed to be censured and to cease-and-desist from engaging in the... by Ara Jabrayan | Sep 20, 2016 | Form ADV, Investment Adviser Code of Ethics, RIA Compliance, RIA Compliance Policies, SEC Investment Adviser Compliance
On September 12, 2016, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert which announced its intent to conduct examinations of Registered Investment Advisers (RIAs) that employ or contract with persons who have a history of disciplinary events. OCIE’s examinations will evaluate the effectiveness of the RIA’s compliance programs, supervisory oversight, and disclosures to clients and prospects.
by Ara Jabrayan | Sep 6, 2016 | Form ADV, RIA Compliance, SEC Investment Adviser Compliance, SEC Rules
On August 25, 2016, the SEC adopted amendments to several rules under the Investment Advisers Act and revised its registration and reporting forms. The amendments are designed to enhance the reporting and disclosure of information provided by Registered Investment Advisers (“RIAs”) to investors and the SEC.
by Ara Jabrayan | Apr 12, 2016 | Division of Investment Management News, RIA Compliance, SEC Investment Adviser Compliance, SEC Rules
On April 6, 2016, the Department of Labor (“DOL”) published its final version of the Fiduciary Rule. Although the rule did not match the length of the landmark novel, War and Peace, it came close at 1,028 pages. Depending upon the translation, War and Peace ranges... by RIA Compliance | Dec 15, 2015 | Gramm-Leach-Bliley Act, RIA Compliance, SEC Cybersecurity, SEC Investment Adviser Compliance, SEC Rules
On December 4, 2015, President Obama signed a highway bill into law, which tacked on an exception to the annual privacy notice requirement for financial institutions that satisfy certain conditions. In legislation that can only be understood by Washington, D.C....
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