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Financial Planning January 1, 2007 Glenn G. Kautt	Hi, I'm from the SEC An SEC audit is like a visit to the dentist: The anticipation is scarier than the actual event, but a little pain is inescapable. Here is a recount from a financial planning firm's chief compliance officer of his recent audit experience.
Financial Planning October 1, 2005 Lisa Roth	When the SEC Comes Calling Advisers need to prepare for an SEC regulatory inspection this month. Here's why -- and how.
Investment Advisor August 2005 Thomas D. Giachetti	Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners.
Investment Advisor August 2006 Thomas D. Giachett	Expert's Corner: A Process, Not a Destination With the advent of SEC Rule 206(4) 7, which requires SEC-registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business, it is more critical than ever for all RIAs to recognize that compliance is an ongoing process.
Financial Planning April 1, 2007 John J. Bowen	Policing Your Practice If you build an effective compliance system, your firm will be more appealing to both clients and buyers. Here's how to build a great compliance system.
Financial Planning April 1, 2011 Deena Katz	Keep Calm and Carry On One firm's experience with and advice for an SEC RIA audit.
Investment Advisor July 1, 2011 Thomas D. Giachetti	Are You Prepared for a Regulatory Exam? Learn the steps you need to take to prepare for a regulatory exam.
Financial Advisor April 2004 David J. Drucker	Living With The Rules How to keep the SEC happy without going out of business.
On Wall Street April 1, 2011 Alan J. Foxman	The Whole Truth Advisor Q&A: Disclosure of conflicts of interest... Clients testimonials as advertising... Advisor representatives and outside business activities... Form ADV on a CD... Qualifications needed on Form ADV...
Investment Advisor June 2009 Thomas D. Giachetti	Expert's Corner: Complacency, Risk and the SEC Often advisors become complacent with respect to compliance, but all RIAs must recognize that compliance is an ongoing process requiring the review/update/amendment of regulatory filings, disclosures, and procedures.
Investment Advisor February 2010 Chester Wright	Expert's Corner: Small, Yes, But Compliant How smaller RIA firms can shoulder the compliance burden.
Wall Street & Technology January 5, 2005 Maria Santos	The Cost of Compliance The U.S. Securities and Exchange Commission has come under scrutiny again following the adoption of a recent rule regarding hedge funds.
Investment Advisor July 2006 Thomas D. Giachetti, esq.	Expert's Corner: Passing Muster Is your electronic record keeping up to SEC snuff? Financial advisors should exercise discretion and diligence regarding electronic record retention and communication procedures. When in doubt, retain the hard copy original or make a phone call.
Registered Rep. April 1, 2007	Turf Wars Over Advice The age-old debate between the b/d and investment advisor (RIA) industries over who should be able to provide advice and when, and whose regulatory regime offers better investor protections, is far from over.
CFO March 1, 2003 Tim Reason	Two Weeks in January The SEC put much of the Sarbanes-Oxley Act into effect by passing a slew of new rules. Here's what was proposed and what was disposed.
Financial Advisor July 2008	Frontline News News of interest to the financial community: CFP Board's New Conduct Standards... SEC Examining More RIAs... Advisors Await Word On New Privacy Regulations... First Western Buys Fourth RIA Firm, Doubles Size...etc.
Investment Advisor October 2007 Melanie Waddell	Making Compliance Headway Four years after the passage of the SEC's "compliance program rule," advisors are still grappling with exactly what their annual review process should entail.
Financial Planning September 1, 2007 Jane Worthington	Compliance Financial planners and advisors, advertise wisely. SEC examiners regularly find deficiencies in advertisements touting an advisor's performance returns. They recommend routinely using compliance procedures.
Financial Advisor September 2005 Bruce W. Fraser	How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process.
Financial Advisor March 2005 Tracey Longo	The Watchdog Inside Your Firm The SEC is making your chief compliance officer a whistleblower. Advisors' success with regulators in 2005 will depend largely on whether they trip themselves up or are able to create a business model that is better aligned with their clients.
Financial Planning January 5, 2008 Max Mejiborsky	Compliance A string of recent administrative proceedings have revealed that recidivism continues to plague the investment advisor community, despite an increased emphasis on compliance and the SEC's Compliance Programs Rule.
National Defense September 2011 McGrath et al.	New Rules Give Incentives to Whistleblowers As more than 1,500 letters to the SEC during the notice and comment period confirm, the Dodd-Frank whistleblower requirements are complex and the program is controversial.
Financial Planning October 1, 2006 John E. Gebauer	Your Mailbox Is Full For investment advisors, the regulations for email retention remain murky, but applying some best practices can help.
CFO March 15, 2006 David M. Katz	A Tough Act to Follow What CFOs really think about Sarbox -- and how they would fix it. Included are the results of an exclusive survey of finance executives on the topic.
Investment Advisor February 2008 Thomas D. Giachetti	Is an IPS the Answer? Investment Policy Statements can be helpful, but remember, longer documents aren't always better.
Financial Planning July 1, 2007 Jane Worthington	Compliance Use these rules to help you survive an SEC inspection.
Wall Street & Technology April 14, 2006 Govind Sandhu	Beyond Registration Persistent compliance efforts may be one of the most critical investments in the success of today's hedge funds.
Financial Planning September 1, 2006 Jane Worthington	Accounting for Compliance Instead of viewing compliance as a necessary evil, financial advisors should see it as a cost of doing business and learn how to quantify that cost.
Investment Advisor May 2010 James J. Green	Simple, Not Simplistic Tom Giachetti preaches a simple approach to compliance for advisors: Know what you need to do, but also what you don't need to do.
InternetNews December 15, 2006 Roy Mark	SEC Brings Proxies Online Shareholders will soon be able to find proxy statements and annual reports online, according to new voluntary rules approved this week by the Securities and Exchange Commission.
CFO May 1, 2010 Sarah Johnson	The SEC Has a Few Questions for You This is the envelope no CFO looks forward to opening, even if the inquiry proves to be fairly routine.
Financial Planning December 1, 2005 David J. Drucker	Dazed and Confused Most financial advisers remain uncertain about exactly how to comply with SEC e-mail retention rules. RIAs need to make decisions about what to retain, how, and how to protect it. And there's little consensus on what to do.
Financial Planning May 1, 2012 Jennifer Woods Burke	Gotcha! Audits Get Tougher This year, the SEC and FINRA launched a webinar for firms detailing their expectations and reaffirming that whether a firm is large or small, regulators expect the same level of diligence when it comes to audits.
CFO September 1, 2004 Alix Nyberg	Raising Red Flags As they identify control weaknesses, companies find a common one: inadequate finance staffs.
Registered Rep. April 28, 2010 Bill Singer	The SEC's Own Report Says that It Missed Tips and Clues in a Giant Ponzi Some have alleged improper political motives in the Stanford case, which the SEC has denied.
Financial Advisor January 2004 Jay Gould	Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react?
CFO May 1, 2005 Tim Reason	Feeling the Pain Are the benefits of Sarbanes-Oxley worth the cost? Many companies are voicing their concerns to the SEC. The top complaint about 404 is that auditors must point out management's own assessment of internal controls.
Investment Advisor February 1, 2011 Thomas D. Giachetti	2011 Compliance Checklist Ten compliance issues registered advisory firms must consider in the new year.
Registered Rep. March 10, 2010 Jerry Gleeson	New RIA Custody Rules In Force Friday New rules aimed at preventing registered investment advisors from pulling off ponzi schemes are now in effect.
Wall Street & Technology March 1, 2004	Getting Management on Board With Compliance Compliance and litigation readiness have blasted up the priority list of top management. Leading financial institutions have appointed general counsel into top management roles. Boards of directors are reviewing and approving technology solutions.
Financial Planning October 1, 2008 Jane Worthington	Document Requests Every registered advisor can expect an SEC staff examination and document request. To ease your firm through the process of delivering the documents in a timely manner, it's important to ensure that documents are easily accessible.
U.S. Banker March 2008 Christopher Myers et al.	SOX Relief for Smaller Banks The SEC and the Public Company Accounting Oversight Board apparently agree that SOX may be too burdensome on small companies, and some relief may be on the horizon.
Financial Planning August 1, 2006 Marianne Czernin	Compliance Tips Spotlight on Your Email: NASD Rule 3010 requires all broker-dealers to develop appropriate supervisory policies that prohibit registered representatives from electronically corresponding with the public, unless the communications are subject to those supervisory and review procedures.
Registered Rep. March 15, 2006 Kevin Burke	Merrill Fined $2.5 Million Over Lax Email Oversight The SEC slapped the nation's largest brokerage with a $2.5 million fine and a cease-and-desist order for a "systemic" mishandling of email records related to its brokerage business.
Investment Advisor March 2010 James J. Green	B/D News Bulletins and news of interest to broker/dealers from FINRA and the SEC.
Wall Street & Technology January 22, 2008 Sabatini & Smirnoff	Trade Reporting, Surveillance Key To Compliance With increased regulatory focus on protecting securities market participants, trade reporting and trade surveillance are key to providing transparency, efficiency and oversight for today's trading environment.
Financial Planning October 1, 2006 Elizabeth O'Brien	Bookshelf The RIA's Compliance Handbook by Elayne Robertson Demby is a comprehensive guide for registered investment advisors. Readers can earn 20 hours worth of CFP continuing education credits by passing a 35-question exam located in the back of the book.
Financial Planning June 1, 2010 Brian Hamburger	Going for Custody As of March 12, new rules for RIAs require special (and expensive) reports and audits for custodial accounts. Are you ready?
Investment Advisor January 1, 2011 Melanie Waddell	FINRA Jockeys for SRO Spot as SEC Report to Congress Nears The Financial Industry Regulatory Authority is engaged in a full-court press to convince the SEC that it should be the SRO for advisors.
Financial Advisor July 2008 David Lawrence	Keeping The Record Straight Financial Planning Association President Mark Johannessen and Andrew J. "Buddy" Donohue, director of the investment management division of the U.S. Securities and Exchange Commission, discuss current regulatory issues affecting the financial planning profession.