Compliance Solutions for Investment Advisers

Monthly Archives: February 2016

Some Tips for Safeguarding Client Info

Six good safeguarding tips: Shred financial documents and other printed personal material before discarding. Do not leave your laptop computer, iPad, iPhone or Blackberry in your car (or Starbucks) unattended. Do not leave a computer you are logged on to unattended or unprotected. Do not share your passwords with other persons (and do not post

Why is the IARD Closed on Weekends?

The entire world puts in some work time over the weekend. Why can’t the IARD system be up and running? For that matter, it should be accessible 24/7. After all, it is a computer system. My computer works round the clock. Anyway, it would be especially helpful during the registration renewal period.

Conduct Compliance Testing

“Forensic testing” is certainly the buzzword in compliance circles. Think CSI: Crime Scene Investigation. Essentially, an adviser should conduct some type of transactional or quality control tests that will assist the adviser in determining whether its activities are consistent with its stated compliance policies and procedures. A non-exhaustive list of tests includes: Reviewing client trade

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