ria

    Regulatory Update

    compliance

    time 5 minute read

    Regulatory Update: SEC Makes Dramatic Changes in Advertising and Solicitor Rules

    On December 22, 2020, the SEC adopted a modernized Marketing Rule, which will govern advertisements...

    compliance

    time 3 minute read

    OCIE Director Stresses Importance of CCO Empowerment, Seniority and Authority

    In his opening remarks at the National Investment Adviser/Investment Company Compliance Outreach...
    SEC Risk Alert

    compliance

    time 3 minute read

    SEC Warns RIAs About Compliance Rule Deficiencies & Weaknesses

    The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a risk alert on...
    SEC Risk Alert

    compliance

    time 5 minute read

    Multi-Branch Initiative Offers Advice to RIAs on Compliance and Supervision

    The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a risk alert on...

    sec

    time 2 minute read

    Mock Examinations Can Help You Find a Way Out Of Your Compliance Problems

    In an episode of the West Wing television series from the year 2000, Leo McGarry, the President’s...
    mock exams

    sec

    time 3 minute read

    Mock Examinations Can Make Real Exams Less Scary

    If there’s anything scarier at Halloween than the classic 80’s horror films featuring Jason...
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    Regulatory Update: SEC Makes Dramatic Changes in Advertising and Solicitor Rules

    Les Abromovitz | Dec 23, 2020 5:07:15 PM

    OCIE Director Stresses Importance of CCO Empowerment, Seniority and Authority

    Les Abromovitz | Dec 15, 2020 7:15:00 AM

    SEC Warns RIAs About Compliance Rule Deficiencies & Weaknesses

    Les Abromovitz | Nov 24, 2020 6:45:00 AM

    Multi-Branch Initiative Offers Advice to RIAs on Compliance and Supervision

    Les Abromovitz | Nov 18, 2020 6:15:00 AM

    Mock Examinations Can Help You Find a Way Out Of Your Compliance Problems

    Les Abromovitz | Nov 17, 2020 7:45:00 AM

    Mock Examinations Can Make Real Exams Less Scary

    Les Abromovitz | Oct 27, 2020 10:15:00 AM

    SEC Risk Alert: IA and BD Risks During The COVID-19 Pandemic

    Aileen Farrales | Aug 28, 2020 8:04:40 AM

    RIAs and Broker-Dealers Should Continue to Review and Refine their Relationship Summaries

    Les Abromovitz | Aug 4, 2020 7:15:00 AM

    SEC Risk Alert Provides Valuable Information to Private Fund Advisors

    Les Abromovitz | Jul 7, 2020 7:30:00 AM

    This article is not a solicitation of any investment product or service to any person or entity.
    The content contained in this article is for informational use only and is not intended to be and is not a substitute for professional financial, tax or legal advice.