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Tag Archives: Investment Advisor
SEC Explores Ways to Strengthen Compliance of Independent Advisers
SEC Explores Ways To Strengthen Compliance Of Independent Advisers (Mark Schoeff, Investment News) – At a recent compliance conference, the acting director of the SEC’s Office of Compliance Inspections and Examinations (OCIE) noted that the SEC has increasing concern about … Continue reading
Wire transfers – things to consider
Some things to consider when you receive a request for a wire transfer or check from a client: Confirm the request with the client via phone BEFORE you send them anything to sign. If a hacker is controlling their email, … Continue reading
Standing LOAs Cause Advisers to Have Custody
from Cipperman Compliance Services LLC The staff of the SEC’s Division of Investment Management, in a recent No-Action Letter, has opined that an adviser has regulatory custody of client assets where a client grants even limited authority to transfer assets … Continue reading
Posted in Uncategorized
Tagged Chief Compliance Officer, compliance, custody, IA regulations, Investment Advisor, SEC regulations
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Consistency between Code of Ethics and Actual Gifts Received
from Cipperman Compliance Services The SEC censured and fined an investment consultant and its principal $700,000 for lying about gifts received from recommended investment managers and performance information. The respondent’s marketing material claimed that neither the firm nor its principals … Continue reading
Posted in Uncategorized
Tagged Chief Compliance Officer, IA regulations, Investment Advisor, SEC regulations
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Disaster Recovery testing opportunity
Today may be an opportunity to test your Disaster Recovery Plan – especially if you live in the North East. With the NorEaster, you, or some of your employees, may not be able to get to the office. Or you … Continue reading
Five steps to take when you suspect you are a victim of a cyber attack
from IAWatch Step 1: Contact your IT leader. Step 2: Assess if your system has been penetrated. Step 3: Detect the extent of the hack. Step 4: Notify clients – be aware of your state’s laws regarding alerting a client … Continue reading
Posted in Uncategorized
Tagged cybersecurity, IA regulations, Investment Advisor, SEC regulations
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DoL – should I continue to prepare?
There is a lot of talk about whether President-elect Trump will stop the DoL Fiduciary Rule. As Michael Kitces mentioned in his column last week: “Because the reality is that while the rule will not be enforced until next April – after … Continue reading
Posted in Uncategorized
Tagged Compliance Testing, DOL Fiduciary Rule, IA regulations, Investment Advisor
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