Investment Adviser Compliance Services on Wrap Fee by the SEC The Division of Examinations of the SEC released a new investment adviser compliance services with regards to risk alert on July 21, 2021, that discussed the findings from its exams of more than 100 registered...
As a RIA or registered investment adviser compliance consultant, MAH Advising plays a key role in translating filing instructions and compliance regulations into simple, understandable guidance for our clients. The Employees section of Form ADV Part 1 stands out in this regard as being...
New Cybersecurity Enforcement Case by the SEC The Securities and Exchange Commission (“SEC”) has consistently put cybersecurity at the top of its priority list for the past five years. We also have an article about the SEC's priorities for 2021 that you may find useful....
How do SEC review Work from Home Investment Advisers? A growing number of firms are overseeing investment advisers compliance located across the country with more aggregation taking place in the industry. This is a trend that has only spread with the pandemic, making it necessary...
Alert on Investment Funds and Asset Management In order to enhance the regulation with regards to promotion and sales practices of investment advisers, last December 22, 2020 the U.S. SEC issued changes (final ruling) to Rule 206(4)-1 which is governed by the Investment Advisers Act...
Investment Advisers Need to be Cautious what They Post on Social Media - SEC Continues to Develop Regulations on this Issue Update on U.S. Investment Fund SEC enforcement defense or Securities and Exchange Commission reiterated on July 10th that social media is covered by securities laws....
Whistleblower Awards of the SEC at Record Level | Re-examine Policies and Procedures by MAH Advising The U.S. SEC announced recently that they have already surpassed fiscal year 2021's whistleblower award record during the first half of fiscal year 2021. You can learn about the...
The SEC Updates FAQs for Investment Advisers on Form ADV Part 3/CRS The SEC published three new FAQs on its website with Frequently Asked Questions ("FAQs") for SEC registered investment advisers serving retail investors on March 5, 2021. The first Q&A tends to circumstances in...
IAR CE Content Providers Handbook Published by NASAA Are you a firm's investment advisor or any professional who are keen on turning out to be content suppliers under NASAA's Model Rule on Investment Adviser Representative Continuing Education ("Model Rule")? NASAA just released a handbook that...
If you are an investment advisor, a part of your firm's advising plan and included as IRA rollover participants, you were advised to make themselves be familiar with recent guidance published by the Department of Labor ("DoL") about the new trustee advice which prohibits...
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