Resources

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

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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 […]
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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 […]
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FIRE Solutions
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.
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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.
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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.
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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 […]
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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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