INVESTMENT ADVISER NEWS & GUIDANCE
7/20/2017 | Content area: Investment Adviser
Some dispute that the recent SEC document request letter on business development companies that we shared with you comes from a sweep exam (IA Watch, ...
7/20/2017 | Content area: Investment Adviser
You can assume Andrea Sayago’s busier than the average CCO – given that she’s the named CCO for 11 RIAs.   Like Sayago, Cheryl Vohland’s name comes up...
7/20/2017 | Content area: Investment Adviser
KMS Financial Services ($5.9B in AUM) in Seattle freely disclosed in its Form ADV that it had a relationship with a clearing broker. The dual-registra...
7/20/2017 | Content area: Investment Adviser
Here are more questions you should consider before buying compliance software (see related story):   1. What determines the software price? Is it per ...
7/20/2017 | Content area: Investment Adviser
January can seem a long way away in July but the start of MiFID II early next year will require certain firms to take actions long before then (IA Wat...
7/20/2017 | Content area: Investment Adviser
Get ready to submit some “test” filings of new Forms N-PORT and N-CEN later this year when the SEC releases a new version of EDGAR. These tests will g...
7/20/2017 | Content area: Investment Adviser
It’s round two for Hester Peirce. President Trump has nominated her to fill a five-year term as SEC commissioner. If that name sounds familiar, it’s b...
7/13/2017 | Content area: Investment Adviser
Perhaps you’ve heard that the Consumer Financial Protection Bureau has approved a final rule that prohibits those who supply “certain consumer financi...
7/13/2017 | Content area: Investment Adviser
Okay, K.N. Kukoyi’s book on buying software inspired our headline.   The UK-based author of Don’t Buy Software for your small business until you read ...
7/06/2017 | Content area: Investment Adviser
That’s a lot of information that the Labor Department asks for in its new request for information seeking comments on whether its full fiduciary duty ...
7/06/2017 | Content area: Investment Adviser
Keeping your testing program as fresh as a summer rose can be daunting. Let your peers perk up your testing as they share what they’re currently doing...
7/06/2017 | Content area: Investment Adviser
We’ve already reported that if you make an “other-than-annual amendment” to your Form ADV, Part 1A after Oct. 1, then you’re going to confront a revis...
7/06/2017 | Content area: Investment Adviser
Perhaps it’s not surprising that the principle/CCO of an RIA that operated out of a town many believe was named after Moby Dick author Herman Melville...
7/06/2017 | Content area: Investment Adviser
With the initial phase of the DOL’s fiduciary duty rule kicking in last month and the rule being on the front burner for months, advisers couldn’t be ...
7/06/2017 | Content area: Investment Adviser
It’s official. The SEC’s Division of Investment Management has released a new information update formally revising its FAQs for mid-sized advisers to ...
6/29/2017 | Content area: Investment Adviser
With cybersecurity risks threatening our privacy, it’s no wonder some would seek technology to shield their communications from prying eyes. But you c...
6/29/2017 | Content area: Investment Adviser | CPO/CTA
Signs had already pointed to a significant increase in IA exams by OCIE this year (IA Watch, April 13, 2017). SEC Chairman Jay Clayton told Congress J...
6/29/2017 | Content area: Investment Adviser
An attorney for Ray Lucia, the investment adviser who has spent the last four years challenging an SEC ALJ finding that he engaged in misleading adver...
6/29/2017 | Content area: Investment Adviser
Few executives blunder as big as Mark Wiedman did when the Blackrock Advisors’ ($544B in AUM) senior managing director contributed $2,700 to last year...
6/29/2017 | Content area: Investment Adviser
The SEC has made “recent and rapid advancements” with its analytic programs that are harnessing the power of big data and these developments are havin...
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