Cindi Hill
-
Join 455 other followers
November 2022 M T W T F S S 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 Archives
- October 2022
- August 2021
- June 2021
- May 2020
- April 2020
- March 2020
- March 2019
- January 2019
- December 2018
- June 2018
- May 2018
- March 2018
- February 2018
- December 2017
- November 2017
- October 2017
- September 2017
- July 2017
- June 2017
- May 2017
- April 2017
- March 2017
- February 2017
- January 2017
- December 2016
- November 2016
- October 2016
- September 2016
- August 2016
- July 2016
- June 2016
- May 2016
- April 2016
- March 2016
- February 2016
- January 2016
- December 2015
- November 2015
- October 2015
- September 2015
- August 2015
- July 2015
- June 2015
- May 2015
- April 2015
- March 2015
- February 2015
- January 2015
- December 2014
- August 2014
- July 2014
- April 2014
- March 2014
- February 2014
- January 2014
- December 2013
- September 2013
- August 2013
- July 2013
- May 2013
- April 2013
- February 2013
- January 2013
- November 2012
- September 2012
- August 2012
- July 2012
- June 2012
- May 2012
- April 2012
- March 2012
- December 2011
- September 2011
- August 2011
Tag Archives: Investment Advisor
NASAA Announces Speakers and Agenda for November 3 “NASAA’S Senior Issues and Diminished Capacity Committee Presents” Webcast
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
DOL Prohibited Transaction Rule aka DOL Fiduciary Rule 3.0
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
Posted in Uncategorized
Tagged compliance, DOL Fiduciary Rule, IA regulations, Investment Advisor
Leave a comment
Update on PPP disclosure
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
Posted in Uncategorized
Tagged ADV Part 2, compliance, Investment Advisor, PPP loans
Leave a comment
SEC Exams and the DOL Rule
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
DOL Fiduciary Rule – update
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
Posted in Uncategorized
Tagged compliance, Compliance Testing, DOL Fiduciary Rule, Investment Advisor
Leave a comment
News regarding DOL Fiduciary Rule
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
Posted in Uncategorized
Tagged compliance, DOL Fiduciary Rule, IA regulations, Investment Advisor
Leave a comment
SEC Fines and Bars CCO for Ignoring Compliance Problems
from Cipperman Compliance Services The SEC fined and barred an adviser’s Chief Compliance Officer from acting in a compliance or supervisory capacity because of his failures to remedy compliance deficiencies. The adviser hired an outside compliance consultant which recommended 59 … Continue reading
Posted in Uncategorized
Tagged CCO, Chief Compliance Officer, compliance, Investment Advisor
Leave a comment
Three Firms Fined for Marketing Hypothetical Third Party Performance
from Cipperman Compliance Services, LLC The SEC censured and fined three more investment advisers in connection with marketing F-Squared’s misleading hypothetical performance information. One of the firms agreed to pay $8.75 Million in disgorgement, fines, interest and another agreed to … Continue reading
Posted in Uncategorized
Tagged compliance, Investment Advisor, Performance Advertising
Leave a comment
Renewal Fees
Preliminary Renewal Statements are available on the IARD. This statement includes the fees due to states for 2018. These fees are due whether you are a state or an SEC advisor. Payment is due on or before December 18, 2017. … Continue reading
ADV Part 1 Changes
As many of you are aware, the U.S. Securities and Exchange Commission (“SEC”) issued a final rule in August 2016, which significantly expands the information required in Form ADV Part 1. The compliance date for the rule is October 1, … Continue reading
Posted in Uncategorized
Tagged ADV Part 1, CCO, compliance, IA regulations, Investment Advisor
Leave a comment
Hill Compliance Advisors' Blog 