First and foremost, Registered Investment Advisers (RIAs) are held to a standard of fiduciary duty by the SEC. As defined by the SEC, RIAs must act in the best interests of their clients, should not engage in activities that are in conflict with the interest of the client, and must provide a full disclosure of all material facts to clients and prospective clients.
To prove that they are able to meet these standards, RIA firms must have solid compliance programs in place.
If you are an investment advisory firm located outside the United States, providing advisory services to any number of U.S. persons, (or using U.S. jurisdictional means to conduct your business), you will not want to miss this webinar, co-presented by MyComplianceOffice and Milne Legal on September 13, 2016 at 10 am EST / 4 p.m. CEST.
The US media is buzzing about the events in Cleveland at the Republican National Convention this week, covering speeches from Ted Cruz to Ivanka and Melania Trump. One of the biggest announcements out of the RNC? Mike Pence, the sitting Governor of Indiana, will serve as Trump's running mate.
MyComplianceOffice today announced plans to attend and exhibit at IA Watch's IA Compliance: The Full 360° View in Washington, D.C. on Feb 24-26. Staff from MyComplianceOffice will join compliance officers from across the nation to hear SEC officials, industry insiders and regulatory experts impart compliance best practices and timely alerts on coming regulations
