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Monthly Archives: January 2014
Technology Source
I have been following a technology blog that I’d like to make you aware of, if you aren’t already. Bill Winterberg’s Bits and Bytes is a weekly 5 minute video blog that is very helpful for advisers. Take a look … Continue reading
California to charge fees for IARs
The California Legislature recently passed a bill authorizing the Department of Business Oversight (DBO), the department that oversees RIAs, to charge up to $35 in renewal fees annually for each Investment Adviser Representative (IAR). This became effective on January 1, … Continue reading
CCO Protection
If you are a CCO, it appears you are a target and the risk of CCO liability continues to grow. With Code of Ethics reports due this month and next, it is time to move some of that risk off … Continue reading
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Tagged CCO, Chief Compliance Officer, compliance, IA regulations, Investment Advisor, SEC regulations
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