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Articles tagged "compliance"


Brian Davis: This isn't meant to be a deep dive, but to answer those yes and no compliance questions RIAs have on a day-to-day basis.

Scottrade proclaims itself the 'compliance custodian,' partnering with RIA In a Box and staffing a hotline with ex-regulators
But the mega-custodians are having none of it, saying the initiative is good as far as it goes, but lacks the horsepower to tackle the big questions

Friday 12.7.12
Les Abromovitz: Loose lips can lead to information being made available to unintended persons -- which can also lead to insider trading.

Beware: RIA privacy breaches aren’t always high-tech
Bellowing that reaches the waiting room is one example of potential confidentiality-breaching behavior

Wednesday 6.20.12
Les Abromovitz: You are destined to have problems if the PR firm believes that regulations need not get in the way of a great marketing campaign.

PR firms must recognize that RIAs answer to a higher authority
There is such a thing as bad press -- a disclosure that seems 'a bit much' to your public relations firm may be just enough to land you in a compliance hot spot

Thursday 5.10.12
Les Abromovitz: If you ignore securities regulators' priorities ... you're likely to get dealt a bad hand during an exam.

The SEC will often 'tell' advisors what compliance issues deserve attention
The agency has its own ways of communicating what gets on its regulatory nerves

Monday 4.9.12
Les Abromovitz: The most significant compliance risks arise from structured programs that reward clients for each and every referral.

Where RIAs should draw the line in rewarding clients for referrals
By expressing your gratitude in a tangible form, you run the risk of turning your client into a solicitor

Monday 3.26.12
Les Abromovitz: The SEC and state securities regulators want to prove they are aggressively overseeing RIAs.

Lost in limbo: How and why compliance officers can seem to thwart RIA marketing efforts
CCOs have valid reasons for poring over the content of any proposed articles coming from their firm -- but they owe you a quick response

Wednesday 2.22.12
Les Abromovitz: A word or two can make the difference between a compliant video and one that is potentially misleading.

Why RIA videos are especially fraught with regulatory pitfalls
The productions are expensive so check with the CCO before rolling the cameras

Monday 12.5.11
Les Abromovitz: Recently, one RIA firm that I work with claimed to have created hundreds of unique solutions. Those kinds of claims invite a securities examiner to ask for proof that the firm’s solutions are truly out of the ordinary.

The marketing naughty and nice list
Catchwords and strategies likely to draw regulators' ire -- and others that pass anyone's test

Thursday 12.23.10
Marc Cohen: Frankly a number of our attorneys stayed up way too late sitting around a conference table continually throwing out words that could possibly get someone into trouble.

MarketCounsel's MailBanc automates away some of the liability risk of instant communications
A web-based email archiving and compliance tool for small to mid-size RIAs

Tuesday 6.29.10
Les Abromovitz: The SEC examiner in your office may be a bit more skeptical about your firm’s conduct than was previously the case during a routine examination.

The SEC's unannounced compliance exams are growing more common. That means the ‘I’ll-get-to-it’ strategy is an even worse idea than before.
How to test your firm’s readiness

Wednesday 4.28.10
Patrick Sullivan has brought 80 fellow advisors under his firm's compliance umbrella

LPL Financial wins more breakaway brokers by sacrificing a revenue stream
Morristown Financial Group finds lucrative niche by taking over some supervisory duties from fellow brokers

Wednesday 10.21.09
Les Abromovitz: Twitter's 140-word limit leaves scant room for disclosures

Social media can turn regulatory exam into fiery wreck
Tweeting and Linking in are fair game for sharp-pencilled regulator

Tuesday 8.25.09

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