On January 7, 2020, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced its 2020 Examination Priorities. For the past 8 years, OCIE has released its examination priorities on an annual basis. Examination priorities highlight where OCIE will focus its resources as it continues to…more
October 23, 2018
Wells Fargo Meeting Center
Boston, MA
October 4, 2018
Hilton Austin Downtown
Austin, TX
The year is quickly nearing an end, which will bring a new set of pronouncements that will become effective in 2018. One of those pronouncements is Financial Accounting Standards Board (FASB) Accounting Standards Update (ASU) 2016-01: Financial Instruments-Overall: Recognition and Measurement of Financial Assets and Financial Liabilities.
The…more
November 14-15, 2017
The Princeton Club
New York, NY
June 20-21, 2017
The Princeton Club
New York, NY
The Division of Investment Management (DIM) of the U.S. Securities and Exchange Commission (SEC) recently issued three different clarifications that have an impact on whether a registered investment adviser (RIA) has custody of client assets under Rule 206(4)-2 of the Investment Advisers Act of 1940, commonly known…more
Customer service is key in driving the growth of business. In the highly-regulated broker-dealer industry, a focus on better customer service is often the distinction between competing firms.
The ongoing Fintech revolution in the financial services industry has opened up innovative options for representatives to be more accessible…more
On March 22, 2017, the Securities and Exchange Commission (SEC) adopted an amendment to shorten the standard settlement cycle by one business day. Before this amendment, the execution, confirmation, clearance, and settlement would need to be completed in a three day cycle (T+3). This amended rule will apply to…more
On August 25, 2016, the Securities and Exchange Commission (SEC) issued Release No. IA-4509 which adopted amendments that impact Form ADV requirements and various Investment Advisers Act rules. These amendments require additional, enhanced information relating to investment advisers’ separately managed accounts (SMAs), make clarifying and technical changes for other…more