Blog Entries in Regulation and Compliance

Blog Entries in Regulation and Compliance

Understanding Your Responsibilities Regarding the New SEC approved Supervision Rules

By Karla Paxton, Client Engagement Manager, ByAllAccounts on Wednesday, November 5th, 2014

Karla Paxton, Client Engagement Manager, ByAllAccounts

Home Offices and FINRA members do you know what your responsibilities are regarding the SEC approved Supervision rules that go into effect on December 1st?..Read More »

Regulators Propose Rule Requiring Succession Plans

Peter McGratty CFA, VP Business Development, Pinnacle Advisor Solutions

You may have vacationed this summer, but your regulators did not! The North American Securities Administrators Association (NASAA) opened a public comment period running from August 1 to September 30th on a rule that would require financial advisors to put a succession plan in place. Some compliance consultants believe this new rule may be on the fast track and could be finalized before year-end...Read More »

What to do After Your Next SEC Exam

By ByAllAccounts, Podcast Series on Monday, July 21st, 2014

ByAllAccounts, Podcast Series

In the following podcast you’ll learn what to do after your next SEC exam...Read More »

Tips for Remaining Compliant During Your SEC Exam

By ByAllAccounts, Podcast Series on Wednesday, July 16th, 2014

ByAllAccounts, Podcast Series

In the following podcast you’ll learn tips for remaining compliant during your next SEC exam...Read More »

5 Key Compliance Steps for RIAs Using Social Media

Amy Sitnick, Senior Marketing Manager, SEI Advisor Network

Unlike broker dealer-affiliated advisors, RIAs have to create their own policies and procedures for social media. To make matters murkier, the Securities and Exchange Commission has provided little guidance on social media, but there are some things that are a given...Read More »

Have an Upcoming SEC Exam? Preparation Starts Now

By ByAllAccounts, Podcast Series on Wednesday, July 9th, 2014

ByAllAccounts, Podcast Series

The following podcast is an excerpt from our July 25th webinar “Are You Prepared for an SEC Audit?”..Read More »

Are You Prepared For an SEC Exam?

By Lindsey Starr, Marketing Coordinator, ByAllAccounts on Wednesday, June 18th, 2014

On Wednesday, June 25th ByAllAccounts will be hosting a webinar on preparing for your next SEC audit. You’ll hear from industry experts on need-to-know tips and best practices for keeping your firm compliant...Read More »

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 »

View earlier posts in the archive