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...

Learn What Works in Winning Clients

Guest blog provided by Susan B. Weiner, CFA

Are you about to embark on a new marketing campaign that will cost you a lot in money or time? Take a step back! It’s time to assess what’s already working for you.

There are marketing firms...

Read full post

Give the Gift of Responsive Web Design

My mother-in-law is turning 70. My wife mentioned that we are going to go in on a present for her with my wife's sister and brother. I thought, "great, but how much can knitting needles and yarn really cost?"

Turns out my mother-in-law wants an iPad so it is going to set me back a few more...

Read full post

Tips for Generating Leads on Linkedin

You don’t have to spend a ton of time on Linkedin in order to be effective, it is more important that you are consistent. Try to set aside about 15 - 30 minutes each week to review your Linkedin connections and groups and engage when you have the opportunity. After a couple of...

Read full post

Surviving a Regulatory Exam: The Exit Meeting and Beyond

You’ve made it to the exit meeting of your regulatory exam, but the process isn’t over yet. Below you’ll learn what you can expect from the final meeting and how to remain compliant in the future.

At the exit meeting

At the exit meeting you can expect to have the...

Read full post

Pages

User login