by Krisan Marotta | Dec 27, 2013 | Reporting
The market value on PortfolioCenter reports frequently differs from the market value on the brokerage statements. In every case, the PortfolioCenter value is more accurate. Here’s why the numbers may not match: Some mutual funds distribute dividends...
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 | Feb 19, 2013 | SEC Audits
During an SEC audit, you may have received a notice something like this: Your firm is requested to be state registered or notice filed in all jurisdictions in which it exceeds any applicable de minimis exemption from registration, has a place of business, or otherwise...
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 | Aug 7, 2012 | SEC Audits
The latest SEC audit I helped one of my managers navigate included a request for “names of advisory clients lost, including the reason, termination date and asset value at termination.” The challenge was extracting this data from PortfolioCenter. Names...
