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Compliance

Do you have clients living in the EU? You may be subject to the GDPR.

Do you have clients living in the EU? You may be subject to the GDPR.

The General Data Protection Regulation (GDPR) was approved by the European Union on April 14, 2016,...
Delve into the ethical and compliance concerns around using client usernames and passwords in the advisory realm.

Using Client Usernames and Passwords

Custody. Most advisers don’t think about how the custody rule can be triggered by a variety...
advertising issues for rias

Advertising Issues for RIAs

The Office of Compliance Inspections and Examinations (“OCIE”) has provided a list of...
Understand the whistleblower dynamics and how maintaining compliance can safeguard your firm from potential pitfalls.

Every Office Has A Whistleblower Waiting For You to Slip Up

The SEC has awarded $2.5 million to an employee of a domestic government agency and $1.7 million to...

FINRA Requiring Encryption of Laptops

I recently was approached by a financial adviser looking for a referral for someone who could help...
Stay informed on the key changes in Form ADV effective this October and ensure compliance and readiness.

FORM ADV CHANGES GO INTO EFFECT IN OCTOBER

Requirements for ADV Updates from October 1, 2017. The Securities and Exchange Commission (the...

Series 50 Exam

The Municipal Securities Rulemaking Board (MSRB) is reminding individuals associated with a...
reliance on a compliance consultant

Reliance on a Compliance Consultant is not a Defense

IN THE MATTER OF THE ROBARE GROUP. A registered investment adviser and its principal, owner, and...

Whistleblower Tips Blowing Up

Since its inception in 2011, the SEC has received over 14,000 tips from individuals in all 50...