Investment Advisers: Elevate your expertise!
Join our exclusive April webinars and earn 1 CFP or IAR CE credit per course....more
Investment Advisers: Elevate your expertise!
Join our exclusive April webinars and earn 1 CFP or IAR CE credit per course....more
The Securities and Exchange Commission (SEC) announced charges against 26 broker-dealers, investment advisers, and dually-registered firms for widespread and longstanding failures to maintain and preserve electronic...more
8/20/2024
/ Broker-Dealer ,
Cease and Desist Orders ,
Civil Monetary Penalty ,
Electronic Communications ,
Enforcement Actions ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Regulation ,
Securities Violations
New Rule 14Ad-1 takes effect on July 1, 2024, with filing of Form N-PX due on August 31, 2024, for votes during the July 1, 2023 to June 30, 2024 reporting period. ...more
6/24/2024
/ Compliance ,
Filing Requirements ,
Form 13F ,
Institutional Investors ,
Investment Adviser ,
Investment Management ,
Registered Investment Advisors ,
Required Forms ,
Say-on-Pay ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
On April 3, 2024, the U.S. Department of Labor (DOL) published a final amendment to Prohibited Transaction Class Exemption 84-14. The amendment will become effective June 17, 2024....more
On April 12, 2024, the Securities and Exchange Commission announced settled charges against five registered investment advisers for violations of the Marketing Rule. The firms have agreed to settle and pay a combined $200,000...more
New Rule 14Ad-1 requires all institutional investment managers (i.e., including registered investment advisers that manage client assets-see below) that are 13F filers to report say-on-pay votes on the new version of Form...more
Effective July 1, 2024, New rule 14Ad-1 requires institutional investment managers that are 13F filers to report say-on-pay votes (see below) on Form N-PX when voting on the approval of executive compensation, including, but...more
The RIA Compliance and Legal Strategies Conference is an essential event for registered investment advisors to gain a valuable understanding of current regulatory and compliance-related issues. Attendees will earn 5 CE...more
2/28/2023
/ Acquisitions ,
Arbitration ,
Audits ,
Compliance ,
Confidentiality Agreements ,
Continuing Legal Education ,
Cybersecurity ,
Department of Labor (DOL) ,
Disclosure Requirements ,
Events ,
Hiring & Firing ,
Information Security ,
Litigation Strategies ,
Mergers ,
Registered Investment Advisors ,
Restrictive Covenants ,
Risk Management ,
Subpoenas ,
Texting