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Investment Advisor
March 1, 2011
Thomas D. Giachetti |
Get Form ADV Right New requirements and changing deadlines could make filing Form ADV a tricky business.   |
Investment Advisor
November 17, 2010
Danielle Andrus |
Form ADV Changes Have Advisors Worried Newly created guides can allay confusion |
Financial Planning
May 1, 2008
Rick Cortese |
New Form ADV 2 On March 3, 2008, the SEC proposed amendments to Form ADV Part 2. |
Registered Rep.
March 1, 2008 |
Plain English: The Cost of Compliance The SEC voted in February to propose changes to the structure of the Form ADV, the disclosure document that all investment advisors must complete. |
Financial Planning
March 1, 2013
Kenneth Corbin |
SEC Registration Deadline Looms As annual registration nears, compliance experts warn RIAs to be cautious about their numbers. |
Financial Planning
February 1, 2008
Jeanne Lee |
Regulatory Roundup With regulatory agencies under political pressure to take a tougher stance on investor protections, financial advisors need to stay abreast of a number of proposed rule changes that could come online in 2008. |
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. |
Financial Planning
April 1, 2008
Lisa Roth |
Straight Talk Given the SEC's proposal on a plain-English online Form ADV 2 disclosure brochure, now is the time for advisors to brush up on their language skills. |
Registered Rep.
May 9, 2011
Gleeson & Britton |
New SEC Disclosure Rules Dismay Some Advisors; Advisor Disciplinary Histories in Welcome Packets New SEC rules that require federally-registered advisors to disclose their disciplinary histories in brochures and provide them to clients will get under way in earnest by the end of the summer. |
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 Advisor
October 2010 |
Frontline News New SEC requirements that financial advisors create a plain-English version of Form ADV Part 2... Fiduciary Standard Lobbying Season... Does Schwab's Purchase Of An RIA Portend A New Trend?... etc. |
Financial Advisor
April 2004
David J. Drucker |
Living With The Rules How to keep the SEC happy without going out of business. |
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. |
Investment Advisor
September 2010
Thomas D. Giachetti |
The Compliance Coach: Will the SEC Ever Learn? Don't Count On It Get ready for new custody and ADV rules, and the $100 million threshold. |
Financial Advisor
October 2010
Andrew Gluck |
Pulling The Switch Are state regulators ready to assume oversight of some 4,200 RIAs? |
Registered Rep.
December 16, 2011
Jerry Gleeson |
Compliance Outsourcing Gains Favor With RIAs Charles Schwab's RIA Benchmarking Study this year reports that 38 percent of firms were outsourcing their compliance functions, up from 27 percent in 2010. |
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. |
Financial Planning
October 1, 2010
Brian Hamburger |
Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive. |
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. |
Registered Rep.
June 29, 2010
Halah Touryalai |
The New Sheriffs In Town The SEC examines about 9 percent of the 11,000 or so advisory firms under its jurisdiction annually. All of that is about to change with a little help from regulators at the state level. |
Registered Rep.
July 8, 2015
Jerry Gleeson |
The New Sheriffs In 2012, more than 2,000 RIA firms who had only known the regulatory scrutiny of the Securities and Exchange Commission were transitioned over to the Wild West of state securities regulators. |
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. |
Registered Rep.
September 16, 2011
Jerry Gleeson |
RIA Interest in Financial Planning Grows, Industry Data Suggests Financial planning activities are playing a growing role in the service offerings of registered investment advisors. |
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. |
Registered Rep.
February 1, 2005
Pam Black |
Why More Reps Are Getting Their Kicks on Route 66 What's driving top reps to Series 66 RIA designation is not regulatory rules. It's changes in the wirehouse environment that, newly minted RIAs say, made it harder for them to do their own thing. |
Registered Rep.
November 1, 2006
Susan Konig |
A Big Trade Off? For advisors looking for further independence through a registered investment advisory firm, compliance burdens can increase. Reps working under an independent b/d's umbrella RIA, also known as "dually registered" advisors, must comply with both NASD and SEC rules. |
Financial Advisor
May 2011
Daniel Bernstein |
The Goldilocks Dilemma The greatest problem with client agreements today is the shortcut approach too many advisors take. |
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
March 2006
Melanie Waddell |
Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away. |
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. |
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. |
Financial Advisor
November 2009 |
Frontline News Advisor News: Poll on advisor pay... Citi Embracing Fee-Only Model... RIAs Set Record For Repurchasing Their Firms... FINRA Expands Arbitration Pilot Program... SEC Expects To Examine 9% Of RIAs Annually... more... |
Registered Rep.
March 14, 2012
Jerry Gleeson |
The Long Goodbye This year, about 3,200 mid-sized RIAs will say goodbye to the Securities and Exchange Commission, transferring their registration to the states where they do business. |
Financial Advisor
November 2009
Bruce W. Fraser |
Shifting Landscape A shifting economic environment is also changing financial advisors' practice management world. |
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. |
Investment Advisor
January 2007
Melanie Waddell |
Getting Compliance Help Now If you're one of those financial advisory firms that's still dithering on the sidelines hoping that your compliance program is up to snuff, it's time to get serious. A good place to turn for help is the Regulatory Compliance Association's new CCO University. |
Registered Rep.
November 16, 2012
Jerry Gleeson |
Tardy Advisors Get a Reprieve Mid-sized RIAs who are behind on switching their registration from federal to state jurisdictions now have until Dec. 17 to get caught up. |
Investment Advisor
July 1, 2011
Peter Montoya |
Building Your Personal Brochure In working with thousands of financial advisors -- and designing thousands of brochures -- we've learned what makes a great brochure. |
Financial Advisor
June 3, 2010 |
Frontline News Advisor news: Threshold Rising... Staying Healthy May Cost You In Retirement... SEC Looks To Update ADV Part II... IRS Sets Sights On The Very Wealthy... more... |
Investment Advisor
August 2008
Thomas D. Giachetti |
The Three Troubling Themes How to combat compliance misunderstanding and misdirection. |
Financial Advisor
December 2010 |
Frontline News RIAs Transferred To States May Get Dual Exams... Piqued By Peak Oil... The Art Of The Referral... etc. |
Investment Advisor
September 2007
Melanie Waddell |
Hedge Funds Continue to Deregister During the past year, 732 hedge fund advisors have deregistered, according to the Investment Adviser Association and National Regulatory Services seventh annual report, Evolution/Revolution, which profiles the advisor profession. |
Financial Advisor
September 2004
Tracey Longo |
7 Sins Of Bad Business Planning Correcting these bad business practices might make your financial firm seem like heaven. |
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
November 2009
James J. Green |
Numerology: Fewer Assets, More Advisors Total assets managed by investment advisors shrank in 2008 but the number of SEC-registered investment advisors increased. |
Registered Rep.
September 29, 2005
John Churchill |
Are You Charging Enough? With competition fierce -- and clients more informed than ever -- it's important to make sure that you are not selling yourself short. In fact, you may not be charging enough for your financial advisory services. |
Investment Advisor
May 2010
David Tittsworth |
What a Reinvigorated SEC Will Mean for You The first in a series of occasional commentaries by the executive director of the Investment Adviser Association. |
Registered Rep.
November 1, 2005
John Churchill |
You're Worth So Much More Clients might not agree, but there's rising evidence that advisors are not charging enough for their services. |
Financial Planning
February 1, 2012
John F. Wasik |
State of Regulation As states take over regulation of RIAs with up to $100 million in assets under management, many firm owners are wondering if the transition will prove difficult. |
Investment Advisor
October 2007
Neal Ringquist |
Tech Tools There are a number of reoccurring concerns that rank high among the challenges that today's financial services institutions and advisory firms are looking to address. A software company president discusses how to solve those niggling problems stunting your growth. |
