Blog

The regulatory environment for RIAs is in a state of constant evolution. RIAs are still trying to navigate the new rules set forth by Dodd-Frank, such as the so-called “red flag” rule, aimed at reducing the risk of identity theft, and there is increasing pressure for the SEC to adopt a uniform fiduciary standard. In such a changing landscape, RIAs need to know what to expect of a regulatory exam or audit and how to ensure they are complying with all laws. Gregory Jones, Chief Compliance Officer for Trust Company of America, explained exactly that in a recent Genius Session on audits.

The frequency of exams by state regulators varies by state, but most advisors can expect an audit every three to six years. Visits from the SEC occur about once every nine years. Earlier this year, the SEC announced that it is prioritizing visiting firms that have never been examined. There are several key...

The Regulators Are Here

Who’s that knocking at the door? If you’re an RIA who’s never hosted an examiner from the Securities and Exchange Commission, you may be in for an unwelcome surprise. According to an article in this week’s ...

Read full post

TCA Technology and Six Sigma Expertise Improves Advisor Efficiency

As an RIA, it’s easy to get slowed down by inefficient trading and back office details. What’s more difficult is to determine how to eliminate those inefficiencies in order to deliver greater value to clients and maximize returns to the bottom line.

That’s a problem Mike Lover loves to...

Read full post

Successful Advisors on Social Media: Follow the Leaders

This is a guest post by Amy McIlwain with Financial Social Media

They say that imitation is the sincerest form of flattery. It also happens to be one of the truest forms of good business, and follows suit in social media. There...

Read full post

Is It Time to Update Your Browser?

As you may or may not know, we recently launched a new website. A challenging aspect of website design today is the amount of different web browsers available as well as all the versions offered by each browser. Making sure the site works across all of these browsers is a big factor...

Read full post

Pages

User login