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

OCIE tops goal for examining advisers: Visits 17% of firms in FY 2018

11/21/2018

The goal for FY 2018 was for OCIE to examine 15% of IAs. Instead, examiners achieved examining 17% of the IA universe in the federal fiscal year that ...

Adviser fined for failing to give clients breakpoint discounts, warns other advisers

11/21/2018

If you have your custodian automatically deduct your clients’ fees, be sure it can adjust for breakpoint discounts and can “household” the accounts. ...

Growing sophistication of cyber bad guys challenges advisers to keep up

11/21/2018

It wasn’t the first time the client had asked that his adviser transfer a couple hundred thousand dollars from his account to a third party. All seeme...

LAWS & REGULATORY ACTIONS

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

Kimberly Pine Kitts

Steve Qi, et al.

Home Solutions of America, Inc., et al.

COMPLIANCE TOOLBOX

Save time with 100+ tools and sample documents.

Investment Company Reporting Modernization Frequently Asked Questions

Example of a Trusted Contact Form for Clients

Investor Testing of Form CRS Relationship Summary