Category Archives: Uncategorized

NASAA Announces Speakers and Agenda for November 3 “NASAA’S Senior Issues and Diminished Capacity Committee Presents” Webcast

Posted on October 10, 2022 by cindihill

NASAA Updates: Latest NewsNASAA Announces Speakers and Agenda for November 3 “NASAA’S Senior Issues and Diminished Capacity Committee Presents” WebcastOct 03, 2022 12:13 pm | Karen Grajales WASHINGTON, D.C. – (October 3, 2022) – The North American Securities Administrators Association … Continue reading →

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DOL Prohibited Transaction Rule aka DOL Fiduciary Rule 3.0

Posted on August 23, 2021 by cindihill

The Department of Labor (DOL) Fiduciary Rule became effective February 16, 2021, with a compliance date of December 20, 2021. Under 3.0, advice to rollover or transfer an account is fiduciary advice…even though the prospect is not yet a client. … Continue reading →

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Another FINRA phishing scam

Posted on August 13, 2021 by cindihill

There is another FINRA phishing scam that has been going out. The email appears to be from Jeffrey Kalinowski at FINRA. He really works at FINRA, but the email is a scam. Don’t click on any links in the email.

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Posted on June 10, 2021 by cindihill

Cybersecurity Guidance for Investment Advisers Managing ERISA plans Jun 03, 2021 03:51 pm | by Jaqueline Hummel, Partner and Managing Director, Hardin Compliance For Investment Advisers and Broker-Dealers DOL issues Cybersecurity Guidance.  On April 14, 2021, the U.S. Department of … Continue reading →

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Posted on June 8, 2021 by cindihill

EMAIL SCAM Many of you may have received the FINRA: New Request email below. It is a scam. FINRA: New Request                          View Request                                       Case202106980000Request ID3989971Date Requested06/07/2021FINRA RequesterTa’She Spencer-Clifton                                                                                                                                            Dear Eileen,A Firm Compliance Request has been issued by FINRA for your … Continue reading →

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10 Remote Compliance Best Practices

Posted on May 19, 2020 by cindihill

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 →

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Update on PPP disclosure

Posted on May 7, 2020 by cindihill

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 →

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SEC COVID-19 FAQ re PPP Loans

Posted on April 29, 2020 by cindihill

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 →

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Coronavirus and Fraud

Posted on April 3, 2020 by cindihill

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: ƒ  Outbreak maps. Don’t click on any link that purports to show a … Continue reading →

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Posted on March 16, 2020 by cindihill

 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 →

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