Investment Adviser Home

Includes: 9 Best Practices, 3 Proposed Disclosure Mockups
and a 60-minute Audio Webinar

The Adviser's Guide to SEC Advertising and Marketing Rules

Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

The SEC Examinations Priorities Handbook
Includes: 28 Best Practices, 20 Document Request Letters and 6 OCIE Risk Alerts

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

INVESTMENT ADVISER NEWS & GUIDANCE

Luck graced advisory firm when the ground rumbled from Alaska Earthquake

12/06/2018

Deborah Lamb sat parked in her car, waiting her turn in line at a drive-through coffee kiosk when it struck. “I thought my car was going to explode,” ...

Kentucky judge permits pension lawsuit to go forward, rejects advisers’ request to dismiss

12/06/2018

If a legal action were a prize fight, the advisers would have lost in a knockout. A Kentucky judge has dismissed all claims by a group of major advise...

Some question the value of e-mail reviews as compliance officers continue the task

12/06/2018

The view of one CCO about the effectiveness of e-mail reviews isn’t an outlier. “My personal opinion is that routine e-mail reviews are not worth do...

LAWS & REGULATORY ACTIONS

Full text of the Securities Acts, final and proposed rules, enforcement actions and regulatory releases.

Jesse Litvak: SEC dismisses case against defendant after two convictions followed by two reversals

Fifth Street Management: $4 million in fines against former large IA for improper allocation of expenses

Form N-1A; Correction

COMPLIANCE TOOLBOX

Save time with 100+ tools and sample documents.

CFP Board Code of Ethics

Investment Company Reporting Modernization Frequently Asked Questions

Example of a Trusted Contact Form for Clients