Tag: Compliance services

SEC Votes to Change Form ADV

As if there wasn’t enough uncertainty swirling around the financial services industry at present, the Securities and Exchange Commission (SEC) wants to make changes to Form ADV.

Firms Team Up for Compliance Offering for Investment Advisers

Fusion Business Group, a provider of technology consulting and business level advisory services to alternative investment advisers, will now provide clients of Automated Compliance Solutions (ACS) with infrastructure, consulting, and technology services, the companies announced.

IMHO: Compliance 'Deportment'

Recently, the Internal Revenue Service (IRS) announced that it was sending a questionnaire out to about a thousand 401(k) plan sponsors. 

Consulting Firm Offers Mock Audits to RIAs

RIA In A Box, a consulting business that helps set up registered investment advisory (RIA) firms, said it will begin offering mock audit services to RIA firms that want extra preparation for regulatory audits.

IMHO: Duty Calls?

When it comes to qualified retirement plans, there are three kinds of people: people who are fiduciaries and know it, people who aren’t fiduciaries and know it, and people who are fiduciaries and don’t know it.