Overseeing the Supervisor: The States Crack Down
The states are scrutinizing CCOs and firm managers to determine whether they should register as an IAR, even if they don't provide advisory services.
How to Establish a Culture of Compliance
SEC Chairwoman White’s “felt and feared” and “Giuliani-style approach” comments indicate that regulators are getting aggressive. Be ready.
Get Ready for an Aggressive SEC in the New Year
I have never been political in this column, but the time has arrived.
Exam Update: Are You Ready for the SEC?
I have just finished two weeks of traveling the country speaking to advisors. The topic: Where have regulators focused during recent exams?
SEC Issues Risk Alert and Reminder: Continuity Plans and Reg S-ID
A good disaster recovery plan will not only protect your firm from unnecessary scrutiny, it may also help maintain your client relationships and your business.
Making Sense of Form 13F
The form is already too often misunderstood — and now, a new format!
Regulators Renew Focus on Business Continuity, Disaster Recovery Plans
The SEC and state regulatory bodies have been tightening up their audit practices in many areas of compliance.
Do You Need to File Form PF?
Last year, the SEC created some confusion when it required advisors who manage private funds to periodically file Form PF. Herewith, we dispel that confusion.
Waving the Red Flag on Identity Theft
The SEC and CFTC jointly adopted new red flag regulations for identity theft, which may affect many advisors.
4 Factors for Compliance Success
If not for a visit from regulators, would honest advisors undertake most of the required compliance-related tasks? My unqualified answer: No.