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NASAA releases 2022 enforcement report

Posted by RIA in a Box

Sep 29, 2022 2:00:46 PM

www.riainabox.comhubfsNASAA_Enforcement Cases-Dec-15-2020-09-26-16-72-PM

On Sept. 20, 2022, the North American Securities Administrators Association (NASAA) released its 2022 enforcement report. Based on 2021 enforcement efforts, the report analyzes and identifies trends, market developments and rising public threats.

As compliance consultants to registered investment adviser (RIA) firms, we recommend the chief compliance officer (CCO) of all investment advisory firms review the enforcement report to determine if any changes should be implemented at their firm due to NASAA's findings.

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Topics: RIA Compliance

Top RIA compliance news articles for the week of September 16th, 2022

Posted by RIA in a Box

Sep 23, 2022 2:30:05 PM

This weeks recap focuses on Securities and Exchange Commission (SEC) audits, the Department of Labor's Rollover Rule, and the SEC's recently drafted strategic plan.

Each week, we are giving you our weekly report highlighting the top compliance news articles from various industry news publications. We have selected the most relevant and important news articles related to registered investment adviser (RIA) compliance and regulatory issues. This week's recap focuses on the Securities and Exchange Commission's (SEC) Marketing Rule, the North American Securities Administrators Association (NASAA) recently published enforcement report, and a new model rule from the state regulator, which allows advisers to keep their licenses for a period after leaving the industry, and the SEC's warning to investors regarding performance claims.

Here are our top investment adviser compliance articles for the week of September 16th, 2022:

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Topics: RIA Operations, RIA Compliance, RIA Technology

SEC releases risk alert on investment adviser Marketing Rule

Posted by RIA in a Box

Sep 21, 2022 4:22:03 PM

Addressing industry rules and regulations - RIAB pillar page

On Sept. 19, 2022, the Securities and Exchange (SEC) Division of Examinations released a risk alert notifying SEC registered investment advisers, including advisers to private funds, of "upcoming review areas during examinations" focused on the new Marketing Rule.

Advisers should consider these areas as they review and update their written policies and procedures, as required by the Advisers Act Rule 206(4)-7, to ensure they are in compliance with the new rule. In this blog post, we provide an overview of key takeaways in this risk alert.

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA compliance news articles for the week of September 9th, 2022

Posted by RIA in a Box

Sep 16, 2022 3:04:31 PM

This weeks recap focuses on Securities and Exchange Commission (SEC) audits, the Department of Labor's Rollover Rule, and the SEC's recently drafted strategic plan.

Each week, we are giving you our weekly report highlighting the top compliance news articles from various industry news publications. We have selected the most relevant and important news articles related to registered investment adviser (RIA) compliance and regulatory issues. This week's recap focuses on the Securities and Exchange Commission's (SEC) focus on compliance with the Marketing Rule, cryptocurrency regulation, and anticipated amendments related to client fees and the Custody Rule. 

Here are our top investment adviser compliance articles for the week of September 9th, 2022:

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Topics: RIA Operations, RIA Compliance, RIA Technology

How RIAs can address the top ESG compliance concerns

Posted by RIA in a Box

Sep 13, 2022 2:29:42 PM

ESG compliance for RIAs (1)

ESG (environmental, social and governance) investment strategies have increasingly become a focus for sustainability conscious investors. Annual cash flow into sustainable funds more than doubled from 2019 to 2020 – and ESG funds hit a record high in 2021, with more than $120 billion invested. 

 For registered investment advisers (RIA), offering ESG strategies and investment products is almost non-negotiable, particularly for firms interested in serving younger generations.  

As ESG investing continues to grow, it’s important for advisers to understand how to navigate the Securities and Exchange Commission's (SEC) related compliance concerns. 

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA compliance news articles for the week of September 2nd, 2022

Posted by RIA in a Box

Sep 9, 2022 2:30:01 PM

This weeks recap focuses on Securities and Exchange Commission (SEC) audits, the Department of Labor's Rollover Rule, and the SEC's recently drafted strategic plan.

Each week, we are giving you our weekly report highlighting the top compliance news articles from various industry news publications. We have selected the most relevant and important news articles related to registered investment adviser (RIA) compliance and regulatory issues. This week's recap focuses on the Department of Labor's (DOL) model rule for continuing education (CE), the Securities and Exchange Commission (SEC) stance on cryptocurrency regulation, and recent compliance violations related to client fees, Form ADV, and the Custody Rule.

Here are our top investment adviser compliance articles for the week of September 2nd, 2022:

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Topics: RIA Operations, RIA Compliance, RIA Technology

Don’t forget to nominate a peer for excellence in regulatory compliance

Posted by RIA in a Box

Sep 6, 2022 4:34:38 PM

RIA Compliance Conference (4)-1

The inaugural ComplyConnect Awards is just around a corner. Part of the ComplyConnect Conference & Expo, the awards will recognize individuals in the regulatory compliance field who have made a significant impact on the industry and their peers. Winners will be announced during a special award reception at the conference on Nov. 9, 2022. Read more to learn about the award categories and how you can submit a nomination.

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of August 26th, 2022

Posted by RIA in a Box

Sep 2, 2022 2:42:40 PM

This weeks recap focuses on Securities and Exchange Commission (SEC) audits, the Department of Labor's Rollover Rule, and the SEC's recently drafted strategic plan.

Each week, we are giving you our weekly report highlighting the top compliance news articles from various industry news publications. We have selected the most relevant and important news articles related to registered investment adviser (RIA) compliance and regulatory issues. This week's recap focuses on common question from advisors preparing for Securities and Exchange Commission (SEC) audits, the Department of Labor's (DOL) Rollover Rule, and the SEC's recently drafted strategic plan.

Here are our top investment adviser compliance articles for the week of August 26th, 2022:

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Topics: RIA Operations, RIA Compliance, RIA Technology

Three steps investment advisers can take to detect and prevent elder financial exploitation

Posted by RIA in a Box

Aug 31, 2022 2:25:48 PM

advisers can prevent Elder abuse

As consultants to registered investment adviser (RIA) firms, we understand the importance of educating staff and affiliated advisers on the signs of financial exploitation and scams when dealing with elderly clients. Elderly investors are common targets of financial fraud and scams, most often due to diminished capacity, cognitive decline, and living arrangements lacking frequent social interaction. In this blog post, we list three steps investment advisers can take to detect, prevent, and report suspected instances of elder abuse.

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of August 19th, 2022

Posted by RIA in a Box

Aug 26, 2022 1:34:47 PM

This week's recap focuses on the Securities and Exchange Commission's ("SEC") examination priorities, cryptocurrency, and a recent SEC bulletin emphasizing serving clients' best interest.

Each week, we are giving you our weekly report highlighting the top compliance news articles from various industry news publications. We have selected the most relevant and important news articles related to registered investment adviser (RIA) compliance and regulatory issues. This week's recap focuses on the Securities and Exchange Commission’s (SEC) marketing rule, the Department of Labor's (DOL) fiduciary rule, and environmental, social and governance (ESG) disclosures.

Here are our top investment adviser compliance articles for the week of August 19th, 2022:

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Topics: RIA Operations, RIA Compliance, RIA Technology

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RIA in a Box LLC is not a law firm, investment advisory firm, or CPA firm. RIA in a Box LLC does not provide legal advice or opinions to any party or client. You should always consult your relevant regulatory authorities or legal counsel if applicable.

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