Tag Archives: Compliance Exam

SEC Will Recommend 3rd Party Compliance Reviews for RIAs

From Cipperman Compliance Services, LLC The SEC’s Director of the Division of Investment Management, David Grim, testified that the Division is developing a recommendation that “would establish a program of third-party compliance reviews” for registered investment advisers.  Mr. Grim said … Continue reading

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OCIE Cybersecurity Examination Initiative

The September 15, 2015 OCIE Cybersecurity Examination Initiative discusses the items that the SEC will be focusing on: Governance and Risk Assessment: Examiners may assess whether registrants have cybersecurity governance and risk assessment processes relative to the key areas of … Continue reading

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Cybersecurity Guidance

Ahead of Round 2 of the SEC’s Cybersecurity Sweep Exam, we now have guidance regarding what they might be looking for when they come to visit. They recommend the following: Conduct a periodic assessment to identify potential cybersecurity threats and vulnerabilities … Continue reading

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Are you Prepared for a Compliance Exam? Free webinar – second session added

August 21 date SOLD OUT – Second session added – August 26 As the U.S. Securities and Exchange Commission (SEC) ramps up its examination of Never-Before-Examined investment advisers, now is the time for Registered Investment Advisors (RIAs) to prepare their firms … Continue reading

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Valuations

The SEC has increased focus on valuation of non-traded assets.  If you have any non-traded assets in client portfolios that you bill on, be sure to have a policy on how you value these assets.  I suggest a conservative, written … Continue reading

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Are you Prepared for a Compliance Exam? Free webinar

As the U.S. Securities and Exchange Commission (SEC) ramps up its examination of Never-Before-Examined investment advisers, now is the time for Registered Investment Advisors (RIAs) to prepare their firms to ensure a smooth examination process. To learn more, join me this … Continue reading

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