Tag Archives: compliance

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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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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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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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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SEC Exams and the DOL Rule

Posted on June 8, 2018 by cindihill

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 →

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DOL Fiduciary Rule – update

Posted on May 10, 2018 by cindihill

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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News regarding DOL Fiduciary Rule

Posted on March 16, 2018 by cindihill

Yesterday, March 15, 2018, the U.S. Court of Appeals for the 5th Circuit voted 2-1 to vacate the DOL Fiduciary Rule.  HOWEVER,  the effect of the decision only applies to the following three states within the 5th Circuit’s jurisdiction – Louisiana, … Continue reading →

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