Archive for Compliance
Cost-Basis Rule Change Affects Custodians, Investors and Advisors
Posted by: | Comments
A recent article in FA Magazine, Cost Basis Rules Mean Change For Investors, reminds advisors of the tax reporting changes taking effect, in the case of equities, next January 1, 2011. Another article from FA this past June entitled Schwab Prepares for New Cost-Basis Rules, in addition to discussing how Schwab is handling this change, also provides ...
RIA Oversight- SEC or State—Some Guidance For Advisors
Posted by: | Comments
With the switch from SEC oversight to state oversight coming up on July 21, 2011 for those advisors with $25 million to $100 million, there are some conclusions that are clear to advisory firms from the Dodd-Frank reform bill and some details still mired in what most of us would describe as a "gray area." Below are ...
SEC Changes to Form ADV Adopted
Posted by: | Comments
Although much has been written recently after the SEC adopted the changes to form ADV, I wanted to find an article or articles that summarized the changes in an easy-to-understand format. While searching for such documentation, I came across this article, published by the law firm Winston & Strawn, LLP. I'm sure many of you are still wondering ...
Are You Using Social Media in Your Business?
Posted by: | Comments
RIABiz.com had a couple of articles recently regarding RIA use of social media. One covers the results from a recent Pershing-Aite study that looked at whether advisory firms are using social media, and the affects (advantages) on these firms. The short answer is that firms using social media as part of their marketing are seeing ...
Compliance: Social Networking Guidance
Posted by: | Comments
A recent article in Investment Advisor magazine, titled "As Advisors Use Facebook and Twitter More, Compliance Concerns Loom," provides some guidance on the subject by referencing a FINRA Regulatory notice, a white paper, and a study on the subject. Click here to read the article which includes links to reverenced articles.
SEC Examination- Hello! The SEC Wants Your Records By Tomorrow
Posted by: | CommentsRIABiz had an article showing an example of a firm that had one day to produce the documentation the SEC requested. The author, who works for a compliance consulting firm, points out the importance of having your compliance policies and procedures in order should the SEC come calling- and the turnover request time is short. ...
Web-based Email Archiving and Compliance Tool Review- MarketCounsel MailBanc
Posted by: | Comments
If you are a small to mid-sized RIA firm looking at ways to archive email and other social media, RIABiz had a recent article about a relatively new product, MailBanc from a company named MarketCounsel. The product is developed as an affordable solution for small to mid-sized RIAs. Click here to read the entire article.
Compliance Webcast-Savy Ways To Use Social Media
Posted by: | Comments
InvestmentNews is offering a webcast on July 13th from 4:00pm - 5:00pm EST covering the topic of using social media to help build your business while still meeting compliance regulations. The webcast is geared toward reps of broker-dealers and is sponsored by Laserfiche. Click here to learn more about the webcast or to register.
