During the last two SEC Audits I "enjoyed" with my managers, the SEC Auditors requested a spreadsheet containing the "value of each client's account at end of period that was used for purposes of calculating its advisory fee for the most recent … [Read more...]
SEC Audit: Producing a Portfolio List
When the SEC Auditor knocks on your door, one item she will request is a spreadsheet containing basic information about your clients. The easiest way to retrieve this information is using the Export Wizard. Before beginning, clarify the … [Read more...]
SEC Audit: Beware having client passwords
One manager here in Virginia recently enjoyed a surprise SEC Audit. When the examiner learned she had client user ids and passwords (so that she could access their 401k plans to retrieve statements for manual entry), the examiner had her log on to … [Read more...]
SEC Audit: 5 ways to prepare PortfolioCenter
The Securities and Exchange Commission intends to visit all advisors who have never been examined before 2015 ends. In addition to the list of documents you should collect, here are 5 ways to streamline your PortfolioCenter data so you'll be … [Read more...]
Getting CUSIPs into PortfolioCenter to file Form13F
[dropcap style="light"]Q. [/dropcap]Help! I just discovered I need to file Form 13F with the SEC. It requires CUSIPs but my PortfolioCenter database is missing many CUSIPs. How can I find CUSIPs for the securities we currently hold and how can I … [Read more...]
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