Blog Entries in Regulation and Compliance

Blog Entries in Regulation and Compliance

Surviving an SEC Audit

By Sheryl Rowling, CEO, Total Rebalance Expert on Tuesday, November 19th, 2013

Sheryl Rowling, CEO, Total Rebalance Expert

This Wednesday, November 20th, at 2 pm Eastern, I will be presenting a webinar “Surviving an SEC Audit: Tales from a Very Recent Experience.” In this webinar, I will discuss SEC audit basics, what to do before the visit, preparing for the SEC exam, and more...Read More »

Following the fiduciary standard can translate into client retention and referrals

Karla Paxton, Client Engagement Manager, ByAllAccounts

Can the SEC actually enforce the Fiduciary standard or is it a matter of, “investor beware”? If so, then how can advisors give their clients the peace of mind that they are acting in a fiduciary manner?..Read More »

Change Your Thinking and Decrease Your Reconciliation Process – The Value in Providing Position Only Account Data (Part 1)

Karla Paxton, Client Engagement Manager, ByAllAccounts

Fiduciary and asset allocation responsibilities have increased the need to report on non-managed accounts. Reconciliation is taking up more time with the need for reporting and monitoring these non-managed accounts...Read More »

How Automation and Scalability Can Keep You Compliant

By James Carney, CEO, ByAllAccounts on Monday, April 15th, 2013

James Carney, CEO, ByAllAccounts

With the recent news about JPMorgan Chase and its $6.2 billion loss in derivatives trading, there are renewed calls for increased government oversight and tightened regulations on today’s financial services firms...Read More »

Get Your Platform Ready as Alternatives Go Mainstream

By Stephen Van de Wetering, Founder and CEO, Empaxis on Wednesday, January 2nd, 2013

Modern portfolios need to incorporate more vanilla stocks and bonds to keep high-net-worth clients happy and liquid. Does your firm have the technical muscle it needs? According to one recent survey, about half of all advisors expect to expand their clients’ exposure to alternative assets by at least 15% this year, while most of the rest are boosting their allocations by smaller amounts...Read More »

Can You Grow Ahead of Your Data?

By Stephen Van de Wetering, Founder and CEO, Empaxis on Tuesday, December 18th, 2012

Breakaway asset managers can get along running their operations on what amounts to sweat and a shoestring budget, but once they start capturing clients, the pressure is on to automate...Read More »

Survey Says: Advisors Want To Simplify Their Alternatives

By Cynthia Stephens, VP of Marketing, ByAllAccounts on Monday, December 10th, 2012

One in two financial professionals ByAllAccounts and Millennium Trust Company recently polled say they would use alternative investments more — if only they could ease the time spent per reporting cycle...Read More »

“Just in Time” is Too Late for Efficient Compliance

The time to have the files ready for the regulators is before the regulators even schedule the review. Third-party gurus say it’s time to get your documentation ready for 2013. By getting ready for an audit now — even before the appointment is on the calendar — a firm can allocate scarce resources far more efficiently...Read More »

Take Compliance Out of the Ivory Tower

Too many asset managers isolate their internal watchdogs from the day-to-day operations they need to observe first-hand. An integrated approach will impress the regulators and make the whole process run more smoothly...Read More »

Monitoring Employee Trading is no Longer a Nightmare

Account aggregation is not just a way to track assets your clients hold away from your active management. It's a way to make sure your staff aren't breaking the inside trading rules...Read More »

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