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August 2014 M T W T F S S 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 Archives
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Monthly Archives: August 2014
Are you Prepared for a Compliance Exam? Free webinar – second session added
August 21 date SOLD OUT – Second session added – August 26 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 … Continue reading
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Tagged compliance, Compliance Exam, IA regulations, SEC regulations
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Valuations
The SEC has increased focus on valuation of non-traded assets. If you have any non-traded assets in client portfolios that you bill on, be sure to have a policy on how you value these assets. I suggest a conservative, written … Continue reading
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