Resources
These useful resources will help you stay up to date on the latest industry trends and technologies.
August 1 2017 - Resource
Evolution Revolution 2017
The just-released 2017 Evolution Revolution also shows that the investment adviser profession remains a powerful provider of high quality jobs as it evolves to meet the demands of a growing, tech-savvy client demographic. The 17th edition of this annual joint study by the Investment Adviser Association (IAA) and National Regulatory Services (NRS) paints a picture of a strong industry that […]
Read full article
March 20 2017 - Resource
Transactional Exemption Module
While mutual funds may be exempted from state registration, they are still subject to state notice filings and payment of fees. Many of the state fees are calculated as a percentage of aggregate sales in the state. This whitepaper will outline how you can decrease expenses for paying state notice filings and fees, maximize recognition […]
Read full article
January 10 2017 - Resource
FIRE CE Needs Analysis Template
The Firm Element Continuing Education Document is a structured template that allows compliance officers to conduct a needs analysis and plan out training as it relates their Firm Element Program.
Read full article
May 10 2016 - Resource
Evolution Revolution 2016
The 16th edition of this annual joint study by the Investment Adviser Association (IAA) and National Regulatory Services (NRS) paints a picture of a strong industry that has remained resilient despite flat markets.
Read full article
September 14 2015 - Resource
Getting the Message Right
For every financial institution, the proper supervision driving compliance requirements related to advertising, communications and correspondence is one of the most challenging aspects of their compliance responsibilities. This whitepaper covers the common challenges of managing advertising compliance, solutions enabled by technology and automation, and what you can achieve.
Read full article
July 10 2015 - Resource
Robo Advisers
At any level of involvement with robo-advisers, advisers must remain cognizant of their compliance responsibilities as well as the ongoing fiduciary duty they owe their clients. The use of robo-advisers may lead to a false sense of security if advisers feel they are relieving themselves of liability with respect to those outsourced functions. This whitepaper […]
Read full article
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.
Read full article
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.
Read full article
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.
Read full article
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 […]
Read full article
