IAA Newsletter – Tips for Filing Form ADV: Annual Updating Amendments

form adv

It’s that time of year again when most Registered Investment Advisers are preparing their Annual Updating Amendments to Form ADV.  Please click below to read the article that was featured in the February 2019 issue of the IAA Newsletter. IAA_February19_2019_ComplianceCorner – Tips for Filing Form ADV: Annual Updating Amendments   Author: Megan...

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The Big Data Privacy Paradox

big data

Before technology took over our lives and data started growing exponentially, the U.S. Postal Service was “the” Big Data processor and repository in North America and perhaps the world. To state that it is an institution of American life is obvious to the point of absurdity. While not known for...

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Electronic Messaging – New Types, New Guidance – Are You Prepared?


On December 14, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert titled “Observations from Investment Adviser Examinations Relating to Electronic Messaging”. Based on a series of limited-scope examinations, OCIE reviewed electronic messaging for business-related communications by RIAs to ensure that the relevant regulations were...

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NCS Regulatory Compliance Expands Nationwide Operations

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...

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