by Krisan Marotta | Jan 20, 2014 | SEC Audits
The Securities and Exchange Commission announced it intends to visit all advisors who have never been examined before 2015 ends. The SEC prefers their visits to be a “surprise”, so they typically give you only a 1-2 days to collect your documents. One of...
by Krisan Marotta | Jan 16, 2014 | SEC Audits
The Securities and Exchange Commission announced it intends to visit all advisors who have never been examined before 2015 ends. Now might be a good time to get your records in order. In my 20+ years of working with PortfolioCenter, I have assisted my managers in many...
by Krisan Marotta | Sep 5, 2013 | SEC Audits
In the wake of recent security and privacy scandals, many managers are asking what else they could be doing to protect client data. While I am no security expert, here are are few quick & easy ideas to help you better protect client data. 1. Remove unnecessary...
by Krisan Marotta | Aug 14, 2012 | SEC Audits
When the SEC auditors come knocking, they usually require lengthy, detailed information about your business. One of my managers received a 13-page document specifying the information he had to gather — for a “limited scope examination.” ...
by Krisan Marotta | Oct 15, 2011 | SEC Audits
Mid-size RIAs may want to read the blog post by Chris Winn & Greg Brown from AdvisorAssist on the SEC to State Transition at the ByAllAccounts blog. Their post contains the critical dates for compliance and when to transition. In July 2010, President Obama signed...
