Most managers spend March updating and filing their Form ADV with the SEC. It's due by March 31 with the prior year's information. Wondering how to get the information out of PortfolioCenter? Here's one example. Item 5 Information … [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...]
Complying with the SEC custody rule to compare PortfolioCenter reports to statements
Q. I'm working on compliance. I have a question about SEC website Question IV.2 which requires advisors to add a legend urging clients to compare PortfolioCenter reports with statements from their custodians. The question/answer … [Read more...]
SEC Audit: Producing a trade blotter
When the SEC Auditor knocks on your door, one item he will request is a spreadsheet containing a trade blotter for the time period under review. The easiest way to retrieve this information is using the Export Wizard. The example above requests … [Read more...]
