ANNUAL COMPLIANCE UPDATES - Blog

As the industry events slow down for the holidays, we thought of sharing our notes from conferences we attended throughout the year. There were several conferences, like the October 2019... [...]

The annual renewal season for firms has begun. It’s time to ensure that you and all representatives are registered appropriately in every jurisdiction needed. Unlike the proverbial lump of coal... [...]

The end of the year is the perfect time to get your firm’s compliance filing and processes in order. To help, we put together a list of important year-end compliance... [...]

In late September, the SEC announced settlements with 17 investment advisers for disclosure failures regarding their mutual fund share class selection practices. This action adds to the original 79 firms... [...]

We’re pleased to announce that we’ve made the RegTech100, an annual list of 100 of the world’s most innovative RegTech companies. The third annual list recognizes the tech companies transforming... [...]

If you’re a legally registered investment adviser (IA), then you know the end of the year means concentrating on regulatory audits. The North American Securities Administrators Association (NASAA) 2019 IA... [...]