All Registered investment advisers articles

  • SEC

    SEC settles with RSM over improper conduct


    The Securities and Exchange Commission has settled charges with RSM for “improper professional conduct” after the firm assigned unqualified staff to audit a series of private investment funds.

  • FinTech

    CCO Q&A: Managing compliance in the FinTech space


    Compliance Week discusses with Shannon Duncan, CCO and director of operations at registered investment adviser Blooom, the many unique challenges of doing compliance in the complex, ever-evolving FinTech space.

  • Blog post

    OCIE: Mitigating the risks of electronic messaging systems


    Registered investment advisers will want to pay attention to some recent observations shared by the Office of Compliance Inspections and Examinations following an examination initiative it conducted that offers some key insights for firms to consider to strengthen their supervisory, compliance, and risk-management practices related to the use of electronic ...