What’s New
RIA Updates for September 2021
Recent Blog Posts
- SEC Raises Qualified Client Threshold
-
SEC Charges 21 Investment Adviser Firms for Form ADV Part 3 Filing and Delivery Failures
Recently Updated Sample Forms
- Conflicts of Interest – Cash Sweep Program
- Suitability – Recommending Proprietary Investment or Fund Checklist
Upcoming Webinar
Missed our last updates? Check out our RCC in 60 Video for August 2021!
Video Transcript
Welcome to RCC in 60, where we share what’s new with RIA Compliance Consultants in 60 seconds or less.
In the past month, we’ve added several new entries to our blog, the most recent of which are the SEC Raises Qualified Client Threshold, SEC Charges 21 Investment Adviser Firms for Form ADV Part Three Filing and Delivery Failures, and Mississippi Adopting Investment Adviser Continuing Education Rule. Click the link on this screen to view our blog.
We’ve updated some existing sample forms in our sample forms library. The most recent updates are to forms Conflict of Interest – Cash Sweep Program When Using Affiliated Broker Dealer – Checklist of Best practices, and Suitability – Recommending Proprietary Investment or Fund Checklist. Click the links on this screen to access our newest updates to these sample forms.
Please join RIA Compliance Consultants on Thursday, September 30 at 12 o’clock Central time as we present a live compliance training webinar entitled Compliance Risks of Using Wrap Fee Programs. During this webinar, we will discuss some compliance concerns for offering Wrap Fee programs. To register for this webinar, click the link on this screen.
Lastly, we’d like to thank everyone who participated in our virtual investment adviser Compliance Conference at the end of August. The conference was a great success, and we appreciated everyone’s time and their valuable opinions and insights that they offered during the conference. We look forward to seeing everyone in person next year. That’s been RCC in 60, we’ll see you next time!
