TITLE

Will You Be Ready If the SEC Comes Knocking?

AUTHOR(S)
Welsh, Timothy D.
PUB. DATE
May 2011
SOURCE
Journal of Financial Planning;May/Jun2011 Practice Management Sol, p23
SOURCE TYPE
Academic Journal
DOC. TYPE
Article
ABSTRACT
The article focuses on the enterprise content management (ECM) solution as an important tool for registered investment advisors (RIAs) to help them adapt quickly to the new rules and regulations under the Dodd-Frank Act in the U.S. The author relays that ECM solution limits the firms' exposure to criminal and civil liability. He considers ECM as a cost-efficient program that can help simplify compliance requirement through document automation.
ACCESSION #
60616927

 

Related Articles

  • More investment advisers will be regulated by state.  // Indianapolis Business Journal;10/17/2011, Vol. 32 Issue 33, p13 

    The article reports on new federal regulations as part of the U.S. Dodd-Frank Wall Street Reform and Consumer Protection Act in which investment advisers are mandated to register with the state or the Securities and Exchange Commission (SEC).

  • Investment Adviser Regulation Post-Madoff: A Brave New World. ZAMBROWICZ, KEVIN A. // Journal of Business & Technology Law;2011, Vol. 6 Issue 2, p373 

    The article discusses the impact of the Dodd-Frank Wall Street Reform and Consumer Protection Act on the U.S. financial services industry which has implemented central clearing requirements for product registration by investment advisors. It notes that regulated advice will be provided by...

  • MSRB To Issue MA Rules on Thursday, Hold Press Conference. Hume, Lynn // Bond Buyer;1/8/2014, Vol. 123 Issue 34040, p1 

    The article reports that the Municipal Securities Rulemaking Board (MSRB) will propose core standards for the conduct of municipal advisors on their fiduciary duty and responsibilities, during a press conference by MSRB executive director Lynnette Kelly and general counsel Gary Goldsholle on...

  • State of Regulation. Wasik, John F. // Financial Planning;Feb2012, Vol. 42 Issue 2, p41 

    The article discusses the regulation of registered investment advisors (RIAs) in the U.S. As part of the Dodd-Frank law, states will take over regulation of RIAs managing up to 100 million dollars in assets. RIAs should expect more rigorous scrutiny from state regulators in comparison to the...

  • Dodd-Frank's New Rules for Mid-Sized Advisors. Giachetti, Thomas D. // Investment Advisor;Sep2011, Vol. 31 Issue 9, p124 

    The article reports on the effect of the Dodd-Frank Act in investment advisor firms in the U.S. It states that Dodd-Frank Act passed on July 1, 2010 has created a new category of advisors using their set of regulations for Securities and Exchange Commission (SEC) registration compliance....

  • SEC Adopts Family Office Rule. GIACHETTI, THOMAS D. // Investment Advisor;Oct2011, Vol. 31 Issue 10, p116 

    The article discusses the provisions of the family rule adopted by the U.S. Securities and Exchange Commission (SEC). According to Matt Jacobs, firms that fit the definition of family office under the rules are excluded from registration as investment advisors. Jacobs also states that the rule...

  • The Muni Advisor Business: A Story of Explosive Growth and Change. Glazier, Kyle // Bondbuyer.com;4/6/2015, p1 

    The municipal advisory business has exploded over the past 30 years, as economic, regulatory, and technological developments have combined to create a bigger business that is increasingly dominated by firms focused mostly on MA services.

  • Investment Adviser Performance Compensation. Murphy, Elizabeth M. // Federal Register;2/22/2012, Vol. 77 Issue 35, p10358 

    The article reports that the U.S. Securities and Exchange Commission is making amendments to one of its rule which permits investment advisors to charge performance based compensation from the qualified clients. It is stated that the amendments are made in accordance with the U.S. Investment...

  • Fee on leverage misguided.  // Pensions & Investments;2/23/2015, Vol. 43 Issue 4, p0010 

    The article offers information on financial fee on leverage proposed by the U.S. president Barack Obama not enhancing market stability as it was supposed to do. Topics discussed include leverage applying to investment management firms and financial institutions; the imposed fee being a variation...

Share

Read the Article

Courtesy of VIRGINIA BEACH PUBLIC LIBRARY AND SYSTEM

Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics