Resources

These useful resources will help you stay up to date on the latest industry trends and technologies.

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June 23 2015 - Resource

Customer Complaints Whitepaper

This White Paper addresses some of the common questions that have arisen since Rule 4530 was passed, specifically in regards to customer complaints, starting with a look at the language of Rule 4530, and then examining the various gray areas that may leave compliance officers scratching their heads.
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May 10 2015 - Resource

Evolution Revolution 2015

The 15th annual Evolution/Revolution report is an in-depth study analyzing annual updates filed by investment advisers registered with the U.S. Securities and Exchange Commission (SEC). The 2015 report is based on information on file with the SEC as of April 8, 2015.
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October 13 2014 - Resource

Evolution Revolution 2014

The 14th annual Evolution/Revolution report is an in-depth study analyzing annual updates filed by investment advisers registered with the U.S. Securities and Exchange Commission (SEC). The 2014 report is based on information on file with the SEC as of April 7, 2014.
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April 28 2014 - Resource

Finding the Balance on Personal Securities Compliance

An adviser’s fiduciary duty requires the adoption and implementation of written policies and procedures to ensure compliance with federal securities laws and to supervise employees with a view to preventing violations and averting compliance failures. Read this whitepaper to learn about insider trading: increased security, surveillance and violations, code of ethics and how it relates […]
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March 5 2014 - Resource

Navigating the Process of Investment Adviser Registration

Sweeping regulatory changes made under the Dodd-Frank financial reform legislation expanded the scope and reach of the registration requirements under the Investment Advisers Act of 1940. Even as the process of registering under the Act appears to have become more thoroughly scrutinized and, as a result, more onerous, few would have expected this to be […]
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February 4 2014 - Resource

Investment Adviser Certified Compliance Professional (IACCP) Program

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January 9 2014 - Resource

Securities Registration Maintenance and Management

In this day and age of increased regulatory scrutiny over the securities industry, including an unfortunately long line of major enforcement cases levied by the SEC and referred to the U.S. Department of Justice, proper registration of a firm’s associated persons may not be at the top of many compliance watch lists. However, although relatively […]
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October 3 2013 - Resource

Evolution Revolution 2013

The Investment Adviser Association (IAA) and National Regulatory Services (NRS) issued the 13th annual Evolution/Revolution report, an in-depth study that analyzes annual updates filed by investment advisers registered with the Securities and Exchange Commission (SEC). The 2013 report is based on information on file with the SEC as of April 12, 2013. This year’s report […]
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September 27 2013 - Resource

Registered Reps as Advisers

This whitepaper outlines how registered reps can manage risks associated with outside business activities when acting as advisers.
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August 21 2013 - Resource

Marketing Restrictions Lifted

Download this whitepaper to find out how the JOBS Act Mandated Rule 506 will affect you.  You’ll learn more about the risk factors, policing complications, and how this will increase regulatory scrutiny.  You’ll also learn what you need to do to remain in compliance.
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