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Cybersecurity: Are you in Compliance?

SEC & FINRA Release 2016 Exam Priorities The SEC and FINRA have released their Exam Priorities for 2016.  The SEC’s 2016 priorities are organized around three areas: (i) protecting retail investors, (ii) market wide risks, and (iii) data analytics.  FINRA … Continue reading

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RIAs: Compete with big firms and grow your AUM by up to 45%

CWI Partner Spotlight: An interview with Fred Van Den Abbeel, Executive Vice President, TradePMR You’ve spread your wings to become an Independent Registered Investment Advisor, and the freedom feels great. You’re keeping more of what you earn, you make the … Continue reading

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Attention Investment Advisors: AML testing may be in your future

It’s not the first time we’ve heard the rumor mill humming about this potential rule change, but this latest round of talk seems to be gaining momentum. FinCEN first announced a proposal that would require investment advisors to create an … Continue reading

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Calculating AUM — are you doing it correctly?

Dustin Roth, Regulatory Compliance Consultant, ComplianceWorks Inc. Before you submit your ADV on March 31, you may want to make sure you’re calculating your Assets Under Management (AUM) correctly, according to the most resent rule. The SEC amended the way … Continue reading

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How will your disaster plan hold up in an exam? + 10 key BCP items to address.

Being prepared for the worst is something many firms have outlined in a haphazard fashion; like that earthquake kit you stuffed full of astronaut food and batteries 3 years ago, shoved in the garage and prayed you’d never need to … Continue reading

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FAQ: How many e-mails do I need to review, and how often?

E-mail review is something we hear about all the time. Here, Jeff Cannizzaro shares some general guidelines. How many e-mails do I need to review? The number of e-mails that an Advisor needs to review is directly proportional to its … Continue reading

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Thinking about changing firms? Here is some sage advice.

You’re not making the kind of money you could be or getting the support you need from your firm. That voice inside you is chanting for change again. You’ve tried politely telling it to go away, that you just don’t have the energy to make a move right now. Still, it chants. Perhaps it’s time to poke your head out the door and find out what’s working for other advisors who listened to their voice. Continue reading

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Especially for CCOs: Back-of-the-napkin inventory

by Jeff Groves, President, ComplianceWorks As a CCO, by now have probably completed all of the annual periodic tasks for 2012 and you’re giving yourself a well-deserved pat on the back for surviving another year.  However, the thought of “Did … Continue reading

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9 indicators of a strong compliance program

Did you see the recent SEC press release? In it, we are presented with data demonstrating that the SEC means what it says: they are committed to making sure everybody is paying attention to compliance, and they’re going to penalize … Continue reading

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