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Is Your Registered Investment Adviser Ready for 2011?
As we ease our way through the third quarter of 2010, it is important for firms to consider the following items and what steps should be taken to complete year-end filings and renewals. |
By: Kristen Hargreaves |
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Financial Reform and the Investment Adviser
President Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”) on July 21. Designed to corral the dangerous market activity that brought down Lehman Bros. and Bear Stearns in 2008, the Act touches upon almost every aspect of the financial industry. It provides some bold new amendments to the Investment Advisors Act of 1940 (“Advisors Act”)... |
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Broker-Dealer Policies and Procedures: Retention
As a broker-dealer, your firm is required to maintain various sets of written policies and procedures. These include written supervisory procedures (WSPs), anti-money laundering (AML) procedures, a business continuity plan (BCP), supervisory control procedures (SCPs), privacy policies, and depending on your state, you may be required to maintain a written information security program (WISP). |
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Federal Reform Legislation Bill - Impact on Foreign Hedge Fund Managers
The new Financial Reform Legislation Bill recently signed by President Obama will have an impact on certain managers to hedge funds located outside the United States who market to American investors. Title IV of this legislation defines private fund and foreign private advisor, and sets the asset minimums that would require registering as an investment adviser with the SEC.
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Hiring Considerations
When hiring a new representative, firms should consider a number of things before filing the representative’s Form U4... |
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Investment Acronyms Defined
The financial industry has its own unique language, ripe with acronyms and abbreviations. Speaking “financial” can be daunting for a novice and still cause seasoned veterans to shake their heads at times. The following are some key terms heard in the past year as the mortgage and financial crisis took center stage. |
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New Employee Spotlight |
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Beth Repoza, Staff Accountant
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Staff Accountant |
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