SEC Rule 206(4)-7

Posted on August 10, 2005 by Stark & Stark
no picture

With the advent of SEC rule 206(4)-7 requiring SEC registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business, it is critical for all RIAs to recognize that compliance is an ongoing process that requires the review, updating, and amendment of regulatory filings, disclosures, and procedures.

The August edition of Investment Advisior Magazine has an article by Thomas Giachetti, Chair of the Firm's Securities Compliance & Arbitration group, titled Come Right In. The article discusses issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners.

Tags: ,
Trackbacks (0) Links to blogs that reference this article Trackback URL
http://www.njlawblog.com/admin/trackback/24815
Comments (0) Read through and enter the discussion with the form at the end
Post A Comment / Question Use this form to add a comment to this entry.







Remember personal info?
Send To A Friend Use this form to send this entry to a friend via email.