Monthly Archives: March 2015

Deadline for Annual Updating Amendments

All advisers must file an annual updating amendment within 90 days after the end of the firm’s fiscal year.  For most advisors that deadline is next Tuesday, March 31st. Advertisements

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U4 updates

In addition to the annual updating amendment deadline March 31st, now is the time to review ADV Part 2Bs and U4 documents for all. Have each person review their ADV Part 2B and U4 to confirm the information is current … Continue reading

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Accessing data from outside the Firm

When you or you employees access your firm’s data some things to consider: 1. How secure is their home wi-fi?  You’ll want every access to your data to be a secure access Is the password a strong password? Is the … Continue reading

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Mobile Device Policy

If you allow your employees to use their own mobile devices to access your firm’s electronic data – you need a Mobile Device Policy.  Included in a Mobile Device Policy should be laptops, hard drives, smart phones, tablets, handheld computers, … Continue reading

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