Cybersecurity Exam Observations and Effective Practices
Cybersecurity remains one of the principal operational risks facing broker-dealers [...]
14
07, 2021
12
07, 2021
Investment Adviser Marketing Rule
Effective May 4, 2021, the SEC’s recently adopted amendment to [...]
28
06, 2021
How to Qualify for Puerto Rico’s Act 22
Also, Act 22, known as “The Individual Investors Act” targets [...]
23
06, 2021
Gifts and Gratuities
Advisory representatives are prohibited from accepting anything of value that [...]
21
06, 2021
Schedule 13(d) and 13(g)
Sections 13(d) and 13(g) of the Securities Exchange Act of [...]
16
06, 2021
Act 22: Puerto Rico Tax Incentives
In January of 2012, Puerto Rico passed legislation making it [...]
7
06, 2021
Assessing Custody for Registered Investment Advisers
One of the most critical rules under the Investment Advisers [...]
3
06, 2021
Material Changes to Form ADV
An investment adviser must promptly update its brochure if the [...]
1
06, 2021
Electronic Storage for Investment Advisers
SEC Rule 204-2 require that firms make and keep required books [...]
28
05, 2021
Delivery of Form ADV
Determining if delivery of Form ADV is required for each [...]