Registered Investment Advisors

Plain-English Translation Of SEC Official's Speech To RIA CCOs

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by agluck     November 22, 2015      0.0 (0) On October 15, Andrew J. "Buddy" Donohue, Chief of Staff at the U.S. Securities and Exchange Commission, put chief compliance officers at Registered Investment Advisers on notice. "If I were a chief compliance officer," said Donohue, a regulator and financial industry executive for nearly 40 years, "I would consider my

RIA Data Security Webinar By Compliance Whiz Chris Winn Receives A 4.7 Rating From Attendees

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by agluck     December 07, 2014      0.0 (0) RIA data-security practices, one of the touchiest topics of our time, was the subject of this week’s A4A webinar. Chris Winn, an authoritative source on the topic, says RIAs are being watched, and the picture isn’t all that pretty.  “Everybody has their eyes on us,” says Winn. “The regulators are focused here.

2014 RIA Compliance: 23 Questions From Advisors And Answers

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by Chris Winn     January 16, 2014      0.0 (0) At an A4A webinar last Friday, I covered the major issues compliance RIAs need to know about to be prepared for a regulatory exam in 2014. The session covered a wide range of issues, including some sticky ones about how using an account aggregation application can trigger custody rules that are quite rigorous.  Here's below are the ques

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Questions About ByAllAccounts And When Account Aggregation Of 401(k) Assets Triggers Onerous Custody Rules Become Focus Of Webinar About 2014 SEC Examination Priorities For RIAs

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by agluck     January 11, 2014      0.0 (0) In addition, the SEC a day earlier, had published its list of Examination Priorities for 2014.   Winn’s comments about how account aggregation might unintentionally subject an RIA to onerous custody rules drew a flurry of questions and comments s from attendees. A third of the approximately 25 questions from attendees were about B

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Register For Free For SEC Seminars For RIA Compliance Chiefs In Chicago, New York, Atlanta And San Francisco

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by agluck     July 17, 2013      0.0 (0) The Securities and Exchange Commission announced the schedule for its upcoming Compliance Outreach Program regional seminars in Chicago, New York, Atlanta, and San Francisco for investment adviser and investment company senior officers, including chief compliance officers (CCOs). Here's the online registration form for the free in-person sem

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