All Registered investment advisers articles

  • SEC building
    News Brief

    SEC proposes expansion of RIA custody rule


    The Securities and Exchange Commission proposed registered investment advisers be required to place nearly any asset, not just cash and securities, with qualified custodians, thereby expanding the scope of client assets.

  • SEC

    SEC 2022 exam priorities stress compliance ‘must be empowered’


    The Securities and Exchange Commission released its 2022 examination priorities, providing investment firms, broker-dealers, and other registrants a breakdown of what issues the Division of Examinations will focus on this year.

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    CPE Webcast: Be prepared for regulatory expectations and evolving trends in 2021


    Join an expert panel for an interactive discussion on what registered investment adviser firms can expect this year in terms of requirements targeted to the financial services industry under the Biden administration.

  • SECcrop

    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

    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 ...