SEC Audit Survival Guide

SEC Audit Survival Guide

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...
How to prepare for an SEC audit

How to prepare for an SEC audit

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...
10 easy steps to protect client data

10 easy steps to protect client data

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...

SEC to State Transition deadlines approaching

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...