Monthly Archives: June 2015

Five warning areas for CCOs

Only eight cases since 2004 have named CCOs who only had that job position, and of these, only five centered on violations of Advisers Act rule 206(4)-7, Aguilar states. These cases indicate CCOs risk enforcement action for committing any of these … Continue reading

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Review of Marketing Piece-What should be considered?

When reviewing a marketing piece, what are the things that you should consider?   A few examples of a marketing piece include (but are not limited to): websites (including the blogs posted on the website) newsletters (including email newsletters) business … Continue reading

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Free Cybersecurity Presentation

Join me on Thursday, June 18th at 11am PDT for a complimentary webinar where I will be discussing the importance of cybersecurity for RIA firms.  Click on the link below to register. https://attendee.gototraining.com/r/8453869294432353793

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SEC Judge Says RIAs Can and Should Rely on Compliance Consultants

As SEC Administrative Law Judge has ruled that an investment adviser’s reasonable reliance on an outside compliance consulting firm precluded a finding of scienter (intent to deceive) and dismissed charges that the firm failed to adequately disclose revenue sharing compensation.  … Continue reading

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Cloud Provider Due Diligence

Do you have a questionnaire to use when preparing due diligence on your cloud providers? If not, you will want to do so.  You may wonder – what is important to know about your cloud provider (consider questions I provided in … Continue reading

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