Exam Observations for New Firms
In March 2023, the Securities and Exchange Commission (“SEC”) released [...]
23
06, 2023
10
04, 2023
Cyber Security – Is the “Blind leading the Blind?”
As consultants, we can’t emphasize enough the importance of having a proactive cyber security program that is specifically tailored to protect disruption of critical systems as well as protection of sensitive data for both the firm and its customers.
8
04, 2022
2022 & 2023 Continuing Education Requirements for IARs
In November of 2020, the North American Securities Administrators Association [...]
26
11, 2021
FINRA’s Changes to Continuing Education
FINRA has adopted important changes to its continuing education (CE) [...]
19
11, 2021
Upcoming Payment Deadlines for 2022 Renewals
This is a reminder that December 13, 2021, is the [...]
13
08, 2021
New York IAR Registration Waiver Deadline Reminder
This blog is a follow up to our Change to [...]
23
06, 2021
Gifts and Gratuities
Advisory representatives are prohibited from accepting anything of value that [...]
3
05, 2021
Code of Ethics for Registered Investment Advisers
All advisers registered with the SEC must adopt and enforce [...]
28
04, 2021
Outside Business Activities for RIAs
Outside Business Activities (“OBAs”) of individuals can create potential conflicts [...]
26
04, 2021
What Should an RIA’s Training Plan Cover?
Registered investment advisers (“RIAs”) should ensure training is assigned periodically [...]