FOR IMMEDIATE RELEASE: Londonderry, N.H. – November 26, 2018 – NCS Regulatory Compliance, the nation’s leading regulatory compliance consulting firm, is pleased to announce that they have expanded into California and Atlanta. Kerry Rider has joined the firm as Vice President, and will take the lead for their Los Angeles/West Coast...Read More
As 2018 is on its way out, we reflect on the plethora of massive hacks resulting in endless concern for SMBs & enterprise security professionals as well as the necessary budgetary spend to mitigate and proactively defend against malicious actors. Yes, there’s been a shift in malicious actors’ attack vectors...Read More
Many investment advisers provide investment advice to 401(k) plans. In these instances, the 401(k) Plan itself is the client. In other words, the adviser is hired by the employer to design or manage the Plan itself. In other cases, the adviser may simply be hired by the employer to assist...Read More
Recently the Securities and Exchange Commission (“SEC”) released a Risk Alert identifying the most common deficiencies found in third-party solicitor arrangements: Risk Alert. The SEC’s findings and observations are based on adviser examinations completed over the past three years. Rule 206(4)-3 (the “Solicitor Rule”) prohibits registered investment advisers (“advisers”) from...Read More
The relationship between RIAs and prospective clients is often made more complicated than it needs to be.
It’s Complicated. It’s Way Too Complicated. The 2009 romantic comedy, It’s Complicated, is a humorous look at relationships. The relationship between Registered Investment Advisers (“RIAs”) and prospective clients is often made more complicated than it needs to be. I have found that some RIAs’ marketing materials are exceedingly complicated. They...Read More