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Category Archives: Uncategorized
10 Remote Compliance Best Practices
from Cipperman Compliance Services Today, we offer our “Friday List,” an occasional feature summarizing a topic significant to investment management professionals interested in regulatory issues. Our Friday Lists are an expanded “Our Take” on a particular subject, offering our unique … Continue reading
Update on PPP disclosure
FA Advisor magazine UPDATE TO THIS ARTICLE – THE DEADLINE TO RETURN HAS BEEN EXTENDED TO 5/14/20 Also, if you need to disclose the PPP loan on your ADV Part 2, it must be done within 30 days. I believe … Continue reading
Posted in Uncategorized
Tagged ADV Part 2, compliance, Investment Advisor, PPP loans
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SEC COVID-19 FAQ re PPP Loans
The SEC has come out with an FAQ regarding the disclosure of PPP loans. Please read below. If you are a client and need to have your ADV Part 2A updated to include a PPP disclosure, please let me know. … Continue reading
Posted in Uncategorized
Tagged ADV Part 2, compliance, Coronavirus, COVID-19, IA regulations, PPP loans
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Coronavirus and Fraud
Be aware that opportunistic criminals are using the coronavirus pandemic to steal people’s money and identities. Here are some of the strategies you should be aware of: Outbreak maps. Don’t click on any link that purports to show a … Continue reading
Posted in Uncategorized
Tagged Chief Compliance Officer, Coronavirus, cybersecurity, phishing
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I know these are very tough times, with the markets down and towns going into quarantine mode. Here are a few tips from Jen Goldman of Jen Goldman Consulting, most which you all know. TIPS: 1. make sure everyone knows … Continue reading
Global Investment Performance Standards (GIPS®) Workshop
Don’t miss this opportunity to reserve your seat at an interactive workshop that offers a practitioner’s view of the GIPS® standards. Sessions have been organized covering GIPS compliance fundamentals and how to create and maintain a GIPS compliance program, with an in-depth review … Continue reading
Three Compliance Goals You Should Set for Your Financial Planning Firm
Compliments of Scott Gill, XY Planning Network A new year presents the opportunity to reflect, reevaluate, and refocus for the benefit of our personal and professional lives. When it comes to setting resolutions, many financial planners focus on resetting financial … Continue reading
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New Hacking Incident – be VERY Aware
A client recently sent me an email asking about a blank form he received in the mail. It was a MA-W Notice of Withdrawal form (it is a form for withdrawing registration as a municipal advisor). It was sent without … Continue reading
SEC Exams and the DOL Rule
If your Policies and Procedures Manual says you do ‘X’ then you should be doing it. In the past year I have added a policy for the DOL Rule to client Policies and Procedures Manuals. Examiners have been asking about … Continue reading
DOL Fiduciary Rule – update
Although it appears that the federal court decision vacating the DOL Fiduciary Rule was supposed to take effect on May 7, 2018, the DOL releases a statement continuing its policy of non-enforcement given “uncertainty about fiduciary obligations.” Firms that have … Continue reading
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Tagged compliance, Compliance Testing, DOL Fiduciary Rule, Investment Advisor
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