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IA brief: SEC on pace to meet private-adviser auditing goal; how firms can...
The Securities and Exchange Commission is on track to meet its goal for auditing private advisers that are newly-registered with the SEC under the Dodd-Frank Act , according to the agency’s 2014...
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IA brief: SEC examiners give first look at hedge fund exam findings
Last week, representatives of the Securities and Exchange Commission gave the first of many reports concerning its “presence exam” initiative for conducting initial regulatory exams of private...
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IA brief: Accuracy on assets reporting is crucial for upcoming amendment filing
The end of March is a crucial milestone of the annual compliance program for most registered investment advisers and exempt reporting advisers (ERA’s). Every registered adviser and ERA must update...
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IA brief: SEC opens door to social media ratings and client lists
The Securities and Exchange Commission’s guidance update this week on investment adviser use of social media and the applicability of the testimonial rule will help ease uncertainty over using of...
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IA brief: Account takeovers are big cybersecurity risk for advisers
A recent cybersecurity roundtable hosted by the Securities and Exchange Commission should act as a call to action for investment advisers, as the threat of cyber attacks is high for all companies and...
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IA brief: Recent tech survey highlights text message risk
A recently released survey has exposed a possible compliance gap for many firms that allow their representatives to communicate with clients via text message. Text messages are books and records that...
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IA brief: Determine 2015 filing deadlines before it’s too late
It’s never too early to start planning for 2015 regulatory filing deadlines. There are deadlines applicable to all registered investment advisers and some that require a firm to determine...
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IA Brief: Six steps to address U.S. SEC cybersecurity focus
Now that the Securities and Exchange Commission has formally named cybersecurity as a top exam priority, firms must prepare for the impending scrutiny. The SEC’s annual list of investment adviser...
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IA BRIEF: The state of adviser social media compliance in the U.S.
In the past year compliance professionals have been preoccupied with preventing cybercrime, and rightfully so, with recent high-profile cyber attacks and increased regulatory attention. However, the...
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IA Brief: Year-end chores list: do what you say
The looming turn of the calendar offers a good occasion for investment adviser compliance officers to make good on their promises. A successful compliance program has customized policies and...
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