SEC’s Never-Before Examined (NBE) RIA Compliance Outreach Program

by Alan Foxman, Esq., Senior Consultant The Securities and Exchange Commission’s (SEC or Commission) Office of Compliance Inspections and Examinations (OCIE) has launched a compliance initiative directed at investment advisers that have never been examined (NBE), focusing primarily on those...

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Weighing the Benefits of Outsourcing Compliance

by Rita Dew, Esq., Co-CEO and Founder To many, the word “outsourcing” evokes the negative image of jobs shipped overseas. Yet a growing trend of outsourcing compliance greatly benefits Registered Investment Advisers (RIAs). Outsourcing permits RIAs and Investment Adviser Representatives (IARs)...

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Five Warning Signs of an SEC Audit

by Rita Dew, Esq., Co-CEO and Founder Merely mentioning the words “compliance exam” is enough to frighten the owners of registered investment advisory firms and their compliance officers. Discussing the exam process can trigger nightmares of compliance deficiencies, regulatory fines, disciplinary...

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