Recent Posts
- Three Firms Flagged by SEC for Identity Theft Red Flags Rule Violations
- CCOs Should Carefully Consider SEC Commissioner’s Personal Liability Analysis
- Continuing Education Requirements Are on the Horizon for Many IARs
- Another SEC Action Related to Mutual Fund Share Classes and Best Execution
- Staff Bulletin Provides Guidance on Satisfying Fiduciary Duty and Reg BI Requirements
Archives
- August 2022
- July 2022
- May 2022
- April 2022
- February 2022
- January 2022
- October 2021
- September 2021
- July 2021
- June 2021
- May 2021
- April 2021
- October 2020
- September 2020
- December 2019
- November 2019
- September 2019
- August 2019
- October 2017
- September 2017
- February 2017
- January 2017
- December 2016
- November 2016
- October 2016
- September 2016
- August 2016
- July 2016
- June 2016
- May 2016
- April 2016
- March 2016
- January 2016
- December 2015
- November 2015
- October 2015
- September 2015
- August 2015
- July 2015
- June 2015
- May 2015
Categories
- 12b-1 Fees
- Account Recommendations
- accredited investor
- ADV Part 2A
- ADV Part 2B
- Advertising
- Best Execution
- Books and Records
- Business Continuity and Disaster Recovery Plans
- Cherry-Picking
- Chief Compliance Officer
- Client Relationship Summary
- Code of Ethics
- compliance deficiencies
- Compliance Violations
- Conflicts of Interest
- Continuing Education
- Crypto-Assets
- Cyberattack
- Cybersecurity
- De minimis exemption
- Deficiencies
- Department of Labor
- Disaster Recovery Plans
- Division of Enforcement
- Division of Examinations
- Division of Investment Management News
- DOL Fiduciary Rule
- Dually Licensed
- Duty of Care
- Emerging Technologies
- ERISA
- Examination Priorities
- Fee Calculations
- Fiduciary Duty
- Form ADV
- FORM CRS/Form ADV Part 3
- Form U4
- Gramm-Leach-Bliley Act
- Hedge Clause
- Improper Share Class Selection
- Investment Adviser Code of Ethics
- Investment Adviser Representative
- Investment Advisers Act
- Investment Advisers Act – Section 206(2)
- Investment Advisers Act – Section 206(4)
- Investment Advisers Act – Section 206(4)-7
- North American Securities Administrators Association (NASAA)
- Office of Compliance Inspections and Examinations (OCIE)
- policies and procedures
- Press Releases
- Private Funds
- Registered Investment Advisers (RIAs)
- Regulation Best Interest (BI)
- Regulation S-ID
- Regulation S-P
- Remove term: Products and Practices Products and Practices
- retail investor
- Retail Investors
- RIA Compliance
- RIA Compliance Policies
- Robo-Advisers
- Safeguards Rule
- SEC Cybersecurity
- SEC Investment Adviser Compliance
- SEC NEWS
- SEC Rules
- SEC Staff Bulletin
- Securities Exchange Act
- Share Class Selection
- Social and Governance (ESG)
- Social Media
- Social Media White Paper
- Solicitation
- Standards of Conduct
- State Investment Adviser Compliance
- Supervision Initiative
- Texas
- Uncategorized
- Wrap fee
- Wrap Program
Recent Comments