Category Archives: Uncategorized

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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Global Investment Performance Standards (GIPS®) Workshop

Posted on March 15, 2019 by cindihill

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 →

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Three Compliance Goals You Should Set for Your Financial Planning Firm

Posted on January 23, 2019 by cindihill

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

Posted on December 14, 2018 by cindihill

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 →

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