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Monthly Archives: July 2014
Are you Prepared for a Compliance Exam? Free webinar
As the U.S. Securities and Exchange Commission (SEC) ramps up its examination of Never-Before-Examined investment advisers, now is the time for Registered Investment Advisors (RIAs) to prepare their firms to ensure a smooth examination process. To learn more, join me this … Continue reading
Posted in Uncategorized
Tagged compliance, Compliance Exam, IA regulations, SEC regulations
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Social Media Usage-Is it Really Personal?
During a client’s recent exam the question came up as to whether an employee’s social media was archived. It was a personal Twitter feed, so the answer was “no”. However, the employee had been, amongst all their personal Twitter posts retweeting tweets … Continue reading
Protecting Client Identity – Red Flag Rule
One thing to keep in mind – when a client’s identity has been stolen, email hacked or hijacked or their passwords have been compromised – this information should be documented in the client’s file. This is considered a “red flag” – … Continue reading
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Tagged compliance, cybersecurity, due diligence, IA regulations
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Cybersecurity-6 critical questions you should know the answers to
Cybersecurity is a word much in the news of late. The real question for me is – what is it really and what can and should the RIA firm be prepared to address regarding cybersecurity. With that in mind I … Continue reading
Posted in Uncategorized
Tagged compliance, Compliance Testing, cybersecurity, Investment Advisor
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Use of Alternative Mutual Funds
In a recent speech, Norm Champ, Director, Division of Investment Management discussed the alternative mutual fund market. “While there is no clear definition of “alternative” in the mutual fund space, an alternative mutual fund is generally understood to be a … Continue reading
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