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Topic: IARs

Non-Compliance with Firm’s Own Policy Contributes to Failure-to-Supervise Charges

October 16, 2015
Donít let your firm become the subject of an SEC investigation because this lesson was forgotten: An unmet requirement in your compliance manual, even if not required by a law or SEC rule, may still lead to a citation or enforcement action.

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Case Illustrates Need for Controls to Limit Diversion of Investor Funds

April 25, 2014
You canít trust employees to always do the right thing, especially when it comes to money.

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The Time for Compliance is the Year Before You Register

March 7, 2014
It's never too soon for firms that will register with the SEC to comply with the Advisers Act and related SEC rules.

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Insider Trading – It’s All In The Family

August 21, 2011

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SEC Makes Adviser Rep Data Available Through IAPD

July 13, 2010

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Adviser Reps Take Note – Michigan IARs To Register

January 26, 2010

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