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Monthly Archives: February 2016
Advice regarding retirement accounts
As part of its examination sweep, the SEC is sending financial advisers a 13-page information request that includes 75 items. The document focuses on the recommendations advisers make to rollover funds from a 401(k) account(s) to an individual retirement … Continue reading
Posted in Uncategorized
Tagged Chief Compliance Officer, compliance, ERISA, IA regulations, ReTire initiative, SEC regulations
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Minimize liability in the event of a Breach
A few items to consider that could minimize your liability in the event of a breach: Maintain only those records that must be maintained. For terminated clients, remove all data, especially those records containing non-public client information from storage (cloud … Continue reading
Posted in Uncategorized
Tagged compliance, cybersecurity, Investment Advisor, SEC regulations
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California Registered Investment Advisers – Are you Ready?
In July 2015, the State of California hired 18 new examiners for its Department of Business Oversight (DBO). This is the department that examines California registered investment advisers. As a result I have seen an increase in the number of … Continue reading
Posted in Uncategorized
Tagged compliance, DBO Exam, IA regulations, Investment Advisor
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