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Write the Best Annual Compliance Review Ever! | SEC Compliance Consultants, Inc. (SEC³)

Many chief compliance officers struggle every year with preparing the annual review required under Advisers Act Rule 206(4)-7. To help you out, here’s our guide to writing your annual. ....

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SEC Frowns on Private Equity Fee Offset Calculations, Hedge Clauses, and Backtested Performance: Lessons Learned and Worth Reading for February 2022 | Foreside

LESSONS LEARNED - SEC Rules that Investors Win in Battle over Inconsistent Documentation. A private fund advisor learned that the details matter in this case brought by t. ....

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Compliance Manual as RIA Operations Manual

Collaboration between compliance and operations is key. ....

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DOL Weighs In With Cybersecurity Guidance, FINRA Issues Reminders on Options and Predispute Arbitration Agreements, NASAA Releases Annual State Advisers Report, Cayman Extends CRS Compliance Form Deadlines: Regulatory Update for June 2021 | Hardin Compliance Consulting LLC

For Investment Advisers and Broker-Dealers
DOL issues Cybersecurity Guidance. On April 14, 2021, the U.S. Department of Labor (“DOL”) Employee Benefits Security Administration (“EBSA”) issued cybersecurity guidance directed towards ERISA plan sponsors and ERISA fiduciary advisors. While the guidance appears similar to SEC’s advice, there is one noticeable difference: the DOL says firms “should” have a reliable annual third-party audit of security controls. As part of this audit, EBSA expects to see audit reports, audit files, penetration test reports, and any other analyses or reviews of cybersecurity practices. EBSA also wants documented corrections of any weaknesses identified in the independent third-party analyses. What are the implications to firms subject to this guidance? Will the DOL consider it a breach of fiduciary duty if a firm does not hire a third party to conduct an audit of its security controls? Can a firm do this assessment internally? Time will ....

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Top 10 Tips for Updating your Compliance Program for 2021 | Hardin Compliance Consulting LLC

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As 2020 finally comes to a close, compliance officers face the unenviable job of performing their compliance program’s annual review under Advisers Act Rule 206(4)-7). An essential element of that review is updating the firm’s compliance policies and procedures to reflect relevant changes to regulations and regulatory guidance. Here’s a cheat sheet for Chief Compliance Officers summarizing the SEC’s big-ticket items from 2020.
Despite the massive disruption caused by the COVID-19 pandemic, the SEC didn’t skip a beat, moving ahead with examinations, enforcement actions, and regulatory initiatives in 2020. The SEC’s Division of Examinations (the Division, formerly known as Office of Compliance Inspections and Examinations, or OCIE), shifted to remote examinations and focused on threats posed by COVID-19, such as fraud, insider trading, and inadequate disclosure. Although some deadlines and requirements ....

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