Your firm is notified that the SEC is coming. It spends weeks reviewing all policies and procedures and participating in a mock SEC exam, to help the registrants’ employees prepare. But what other steps should be taken to help achieve … Read More
The financial securities industry has an ever-changing regulatory environment. That’s why it’s critical that advisors are proactive about keeping up with the latest regulations, anticipating their implications for real-world scenarios, and understanding how to meet the expectations of the U.S. … Read More
On March 3, 2022 Managing Partner Michelle Jacko will be speaking on “Back to Basics Track: Annual Reviews,” for the 2022 Investment Adviser Compliance Conference. During this session, Michelle an her co-panelists will discuss, “How the process of assessing the adequacy of policies … Read More
The LawTV/Video Bolt Video 12: Proactive Risk Mitigation… Read More
Given the current regulatory landscape, good intentions just aren’t good enough. Companies need to be actively protecting themselves and their personnel from liability.
The LawTV/Video Bolt Video 11: Protecting Your Firm Through Risk Management… Read More
You have successfully formed your investment advisory firm and your business is up and running. Now you want to ensure that your firm remains in compliance with the SEC, FINRA and state regulators so that, in the event a regulatory agency DOES come knocking, you are ready to handle the examination.
In a previous blog post, we discussed a few key areas for consideration regarding a firm’s annual review. We covered the integral area of the Code of Ethics – but in today’s blog post we focus on the importance of analyzing your firm’s policies regarding custody.
The annual review is one of the three (3) pillars of Rule 206(4)-7 (“the Compliance Rule”) of the Investment Advisers Act of 1940 (“the Advisers Act”).
The COVID-19 Coronavirus has created unexpected and unique challenges for financial industry participants. Employee illness, unpredictable financial markets and client fears are just a few of the new issues that have had an impact on investment advisors, broker-dealers and their personnel. … Read More