Topic Investment Advisers

The SEC's new amendments for Form N-PX and Rule 14Ad-1 soon will affect RIAs and Registered Funds. See what these changes mean for you and your firm.

Testing your compliance procedures is an integral piece of overall SEC compliance for registered investment advisors. Read on as we discuss the importance of testing your compliance procedures.

RIA compliance programs are, unfortunately, often an afterthought. Joot explains why compliance programs are important for both you and your investors.

Prepare for Michigan’s recently adopted IAR continuing education requirements and get help meeting regulatory obligations to ensure RIA compliance.

In this installment of This Week in FinTech & Compliance we discuss the SEC's bulletin on Duty of Care and their recent enforcement action against Classic Asset Management.

Joot Managing Director and Head of Compliance Charles Black attended the 2023 IAA Compliance Conference. Read his recap and some key takeaways from the conference.

In this first installment of "This Week in FinTech & Compliance" we discuss the SEC's case against Two Points Capital and what it can teach RIAs.

Wondering how the new DOL PTE 2020-02 requirements apply to investment advisers already acting as fiduciaries? Read on.

The SEC have issued a Duty of Care bulletin for broker-dealers and investment advisers. Joot breaks down the core components what you need to know.

The SEC has issued new rule change proposals and reopened a comment period on a previous rule proposal. Read on to learn more about these recent SEC updates.

Need help navigating the new SEC Derivatives Rule? We can help you implement an effective derivatives risk management program and maintain compliance.

Prepare for Maryland’s recently adopted IAR continuing education requirements and get help meeting regulatory obligations to ensure RIA compliance.