Introduction Companies struggling with Word, Excel and other traditional applications to support compliance functions, often lack guidance when evaluating tailored software as a service. Our main focus is on the benefits of modern software, practical functionality, and tailored content for … Read more
Likes. Endorsements. Testimonials. Firm pages and employee pages. Many advisers are still struggling to understand the SEC’s patchwork of guidance on using social media. How can you use this medium effectively to reach clients and prospective clients, without running afoul … Read more
New Social Media Guidance On Testimonials The Division of Investment Management has released a Guidance Update which expands the permissible use of social media by investment advisers. Is it a game-changer for advisory marketing activities, or did it still leave … Read more
Where Do We Stand? Implications of the JOBS Act on Private Funds Performance Advertising Disclosure Failures in GIPS Compliance Social Media Advertising JOBS Act Implementation GIPS Deficiencies and Recent SEC Cases; Status Update on Social Media Record Keeping Solutions
Old Rules New Considerations Plus New Rules Growing Use of Social Media & Blogs Implications of the JOBS Act on Private Funds Performance Advertising Disclosure GIPS Compliance
Ascendant Compliance Conference Recap If you missed our Ascendant Compliance Conference in Scottsdale, or if you were able to attend and want a quick recap of the important topics to share with your firm, we summarize the key points raised … Read more
Social Media, Personal Securities Transactions and Calculating Regulatory AUM Learn how to calculate your firm’s Regulatory Assets Under Management under the SEC’s new guidance; what housekeeping items CCOs should perform this time of year; and a recap of the SEC’s … Read more
IARD Renewal, Social Media, Ethics In this podcast, we remind you about the IARD renewal program, and give a status update on social networking procedures and their relationship to the Code of Ethics.