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The Prudent Investment Adviser Rules
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Author Archives: jwatkins
Investment Advisers and the Internet
First, the necessary disclaimer – there is no way to cover all the applicable rules and regulations regarding investment advisers and the internet in a single blog. While it is hoped that the analysis provided herein is helpful, it is neither … Continue reading
Posted in compliance, investments
Tagged compliance, FINRA, investment advisers, investment analysis tools, RIA compliance, suitability, web sites
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RIA Compliance in 3-D
Regulators are stepping up their surveillance of RIA firms. While RIA firms are complaining about the time and cost requirements to prepare and maintain an acceptable compliance program, most compliance issues can be reduced to one of three areas – … Continue reading
Posted in compliance, investments, RIA Compliance
Tagged compliance, investment advisers, RIA compliance
1 Comment
Don’t Go There!
My clients are familiar with several pet phrases that I use to state my opinion in a short, yet definitive manner. One of those phrases that I find myself using a lot is “don’t go there.” As a compliance consultant … Continue reading
Posted in 401k compliance, 404c compliance, compliance, investments, RIA, RIA Compliance
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, retirement plans, RIA, RIA compliance, risk management
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The RIA’s Achilles’ Heel
As an attorney and a compliance consultant, I realize the difference between RIA compliance and RIA risk management. I also realize the importance of both. Unfortunately, I see far too many cases where RIA firms have unnecessary liability risk exposure … Continue reading
Posted in compliance, investments, RIA, RIA Compliance
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, retirement plans, RIA, RIA compliance
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Due Diligence Doldrums
Whether you are a registered representative, an investment advisory representative, or both, you have a legal obligation to do your due diligence regarding the suitability of any investments you intend to recommend to your clients. What many brokers and advisory … Continue reading
Posted in compliance, investments, retirement plans, RIA, RIA Compliance, securities
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, retirement plans, RIA, RIA compliance
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Investment Advisers and Outsourcing
Outsourcing is definitely one of the hot topics with investment advisers. Most investment advisers I talk to about outsourcing feel that outsourcing asset management and/or compliance responsibilities will allow them to concentrate more on building up their assets under management and, consequently, their fees. … Continue reading
Posted in compliance, investments, retirement plans, RIA, RIA Compliance, securities
Tagged 401k, compliance, retirement plans, RIA, RIA compliance, risk management
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The Little Known Win-Win Fiduciary “Gotcha”
It is well-established that investment advisers are fiduciaries. Fiduciary law is based primarily on principles developed under agency law and trust law. When you mention fiduciary law, most people immediately think of the duty of loyalty, the requirement that a … Continue reading
The Times They Are A Changin’
With the pending release by the SEC of the new fiduciary rules, I have received a lot of e-mails and calls regarding the potential implications for currently registered investment advisers. Since investment advisers have been held to be fiduciaries under both the … Continue reading
Posted in Uncategorized
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A Pure Heart and an Empty Head Is No Defense
Unbeknownst to many investment advisers, it is their responsibility to educate themselves as to applicable legal standards for their advisory practices. Investment advisers affiliated with a broker-dealer often assume that the broker-dealer will keep them updated as to any compliance … Continue reading
Hello world!
IA Insight is a blog for investment advisers and those who advise investment advisers, such as attorneys and compliance personnel. The goal is to provide practical and meaningful information to help investment advisers and their advisers develop and maintain acceptable “best … Continue reading
Posted in Uncategorized
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The Prudent Investment Fiduciary Rules 