Happy Tuesday… and it’s October, my favorite month, Cheers! This list is by no means exhaustive and know that dates can change a bit, however, I just put together a general reminder of compliance due dates for RIA’s and Hybrids (with a few other items thrown in). If you need additional info, reference the SEC’s…
Most RIA’s have already taken care of their firm in this area, however if your firm needs guidance on this rule, I’ve attached the link to the full SEC press release from March 2019 here and a small excerpt is below. If your firm happens to need guidance in this area, I’ve performed the extensive…
Cybersecurity “chat” from Sonja Rae @ RIA-CCO ~ As taken directly from the SEC’s website cybersecurity is of utmost concern in our industry. Yes we know…. That’s a given! “As markets grow more global and complex, so too are the threats through cyber intrusion, denial of service attacks, manipulation, misuse by insiders and other cyber…
Cheers from Sonja Rae @ RIA-CCO! It’s a thing… Don’t forget to take care of your Compliance Officer! https://nationaldaycalendar.com/national-compliance-officer-day-september-26/ September 26th is the first day of the Society of Corporate Compliance and Ethics 15th Annual Compliance & Ethics Institute where SAI Global launched National Compliance Officer Day. SAI Global founded National Compliance Officer Day to…
A late evening post from Sonja Rae @ RIA-CCO, not quite feeling “cheery” as usual; I spent most of the day in the dentist chair and I look like a chipmunk! But, earlier this month, the North American Securities Administrators Association (NASAA) released its annual enforcement report, which shows state securities regulators were responsible for…
Cheers from Sonja Rae! I’ve had experience in this realm. I recently helped two large Hybrid RIA’s evaluate ALL of the mutual funds positions their financial advisers have placed (or positions that were transferred in and being held “unknowingly”) in Advisory or fee-based accounts. A very insightful project as to fees clients were charged at…
Happy Thursday! Most of you are already aware of the “Form CRS” requirement or ADV Part 3 adopted by SEC this past June. Good news, it’s not a requirement till mid-2020 so you have time. Or, if you don’t have time, I can create Form CRS custom for your Hybrid RIA or RIA! I really…
Hi from Sonja Rae on a Wednesday “hump” day, lol… This is also officially my FIRST original content “blog post” as RIA-CCO. My goal is to keep it light, and informative. Compliance is kind of “dull” to some, but I’m not, so let’s do this! I found this article in FA Magazine informative and it…
Our friends at www.cloudfunding.co recently wrote a business review on our firm: “ BUSINESS REVIEW This firm provides outsourced compliance oversight services to Registered Investment Advisory Firms via www.ria-cco.com. These services include state and federally required filings, compliance reporting, oversight and enforcement pertaining to FINRA, SEC and state regulatory requirements. RIA-CCO is a new company that…