Archive Of The Category ‘SEC IM Guidance‘

OCIE: Exam Observations

OCIE: Exam Observations

04 December 2020

Main Contributor: Katie Mogan, IACCP® Vice President, Senior Compliance Consultant   The SEC has blessed us once again with another Risk Alert.  This time, they are providing us with a summary of their findings from a series of focused exams of advisors with branch offices. We intentionally left out the term “branch office” in theRead More »

SEC’s Ransomware Alert

SEC’s Ransomware Alert

04 August 2020

Main Contributor: Elizabeth Cope, CPA, CSCP, CIPM, CEO & Lead Consultant   On July 10th the SEC issued a risk alert focusing on ransomware and the importance of generating awareness within advisory firms of current threats.  The SEC is encouraging registrants to monitor alerts provided by the Department of Homeland Security Cybersecurity and Infrastructure SecurityRead More »

Compliance During the Pandemic

Compliance During the Pandemic

02 June 2020

Main Contributor: Elizabeth Cope, CPA, CSCP, CIPM, CEO & Lead Consultant   We have settled into work from home life and found a (somewhat) new normal of work during the pandemic. When the dust settles, we expect the SEC to focus on areas such as business continuity and supervision of employees during the pandemic. WeRead More »

Compliant Advertising: Breaking it Down – Part 4: Performance

Compliant Advertising: Breaking it Down – Part 4: Performance

06 March 2020

Main Contributor: Elizabeth Cope, CPA, CSCP, CIPM, CEO & Lead Consultant   Review of Part 1: The Foundation In the first article of this series, we discussed the foundational information you need to know to ensure your marketing and advertising materials are in compliance with the SEC’s rules and regulations.  We helped you clearly understand:Read More »

2020 SEC Exam Priorities

2020 SEC Exam Priorities

29 January 2020

Main Contributor: Katie Mogan, IACCP® Vice President, Senior Compliance Consultant   I can’t think of a better way to start off the year than by reading the SEC’s Exam Priorities for 2020.  Okay, I’m being a bit facetious.  But in all honesty, I do look forward to this publication. It is a great compliance toolRead More »

New SEC Disclosure Form

New SEC Disclosure Form

03 January 2020

Main Contributor: Elizabeth Cope, CPA, CSCP, CIPM, CEO & Lead Consultant   Have you heard? There is a new form in town. It goes by many names…it is referred to as the Client Relationship Form, Form CRS, or even ADV Part 3. The intent of this new form is to provide your Retail Investors withRead More »

SEC Proxy Voting Guidance

SEC Proxy Voting Guidance

27 November 2019

Main Contributor: Katie Mogan, IACCP® Vice President, Senior Compliance Consultant   After years of research, OCIE exam findings, and roundtable discussions, the SEC has issued guidance on proxy voting in the form of a Question and Response (“Q&R”). You can find the Q&R guidance here. The responsibilities of proxy voting can be an administrative burdenRead More »