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