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

CEO ignored CCO’s pleas for more resources, missed fraud that took down adviser

11/14/2018

The life of Pennant Management, a Wisconsin advisory firm, would run 20 years. It may have continued if only its leader listened to its CCO, who warne...

Exam hot-spots and tips to improve your program

11/13/2018

As OCIE demonstrated recently with its cash-solicitation risk alert (IA Watch, Oct. 31, 2018), advisers often fail to show they’ve done due diligence ...

Fiduciary duty forms foundation of pension lawsuit that could spread

11/09/2018

When does a fiduciary become a fiduciary? That question is at the essence of a lawsuit in Kentucky that could be thrown out before it gets anywhere or...

LAWS & REGULATORY ACTIONS

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

Richard Cody: Defendant in SEC Enforcement Action Pleads Guilty to Investment Adviser Fraud and Lying to the SEC

Eldrick Woodley d/b/a Woodley & Co. Wealth Strategies: SEC files charges against a state-registered adviser for alleged fraud

Risk-Based Examination Initiatives Focused on Registered Investment Companies

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