Topic Advisers Act
Learn more below about the Investment Advisers Act of 1940 and how it applies to your RIA firm.
CCO Tech Announces First Ever Compliance Automation Solution for Registered Investment Advisers
CCO Tech today announces the release of its SEC Filing Manager, the first module of an integrated web-based compliance system for small- and mid-sized registered investment advisers (RIAs).
Did AI Just Result in 13 Settlements?
At the beginning of June, the SEC announced settlements against 13 private fund advisers for failing to provide the required information in Form PF.
Liquidity Is Out, ETFs Are In
The SEC’s stance on its not-yet-effective liquidity rule appears fluid, as commissioners push to abandon part of the rule and certain division heads move on to other topics.
The BIG Reveal: Welcome to the Future of Compliance
For years now, there's been increasing development in fintech, but it's focused mostly on investing, trading, and business development applications.
IM Director's Recent Remarks on Standards of Conduct & Liquidity Risk Management
Given that the SEC recently submitted for public comment proposed rules for standards of conduct for investment professionals, Director Blass’ comments give a concise roadmap of the proposed rules.
The Liquidity Rule Finally Takes Shape!
In May, we discussed eight things that you needed to know about the liquidity rule. Here's an update to that post.
SEC Decides It's Time to Help Investors Understand the Difference between Brokers and Advisers
The SEC has finally proposed a rule that will help clarify the distinction between brokers that refer to themselves as "financial advisors" and investment advisers.