About our Contributors ICS Group is a regulatory compliance consulting firm specializing in providing compliance support to the financial services and insurance industries. We help our clients comply with regulatory requirements and industry standards. Our clients include: registered investment advisers, private equity funds, hedge funds, mutual funds, broker-dealers, insurance companies and state pension plans. Our […]
Does your firm routinely solicit investors and/or co-investors? Does it market its funds to endowments, pension funds and high net worth individuals? Does your firm advise companies on mergers and acquisitions and debt offerings? If your firm receives compensation for any of these services, then you could be engaging in broker-dealer activities for which registration as a broker-dealer is required.
Managing Vendor Risks: Implementing an Effective Third-Party Due Diligence Program – Part 1 of a 3-Part Series
Financial services firms are increasingly contracting with third-party service providers to perform activities related to their business functions and regulatory responsibilities.
The SEC expects to increase the number of investment adviser examinations in 2016. The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) is also increasing the number of examiners by almost 20% this year…
March 8, 2016 – March 30 is the deadline for registered investment advisory (“RIA”) firms to file Form ADV annual updating amendments. Executives, including CCOs, who have intentionally or inadvertently misstated or failed to disclose material information on their Form ADV have been personally fined and/or barred from the financial industry. As NAIC’s Compliance Partner we’re here to help you avoid regulatory blemishes.