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

11/15/2018

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...

Four years on and $700,000 in, The Robare Group fights on

11/15/2018

Legal briefs have been filed with the U.S. Court of Appeals in Washington in The Robare Group v. SEC, the latest installment in a four-year legal batt...

SEC releases new FAQs ahead of Form N-CEN filing deadline

11/15/2018

Next month, larger mutual funds will begin filing liquidity data on SEC Form N-CEN. Ahead of that deadline, the SEC’s Division of Investment Managemen...

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