In a recent webinar, CEO Matt Swendiman was joined by Anthony Stanek, Managing Director at IPL (Investors Preferred). The webinar focused on the potential benefits of private placement life insurance (PPLI) and private placement variable annuities (PPVA) for registered investment advisors (RIAs) and their high net worth clients. Understanding Private Placement Insurance and Annuities Private…
By Ian Meiksins, Key Bridge Compliance President The Securities and Exchange Commission proposed a new rule that would require registered investment advisors to conduct due diligence and ongoing review of a vast array of third-party service providers. The proposed rule is coming at a time where outsourcing functions such as compliance, IT, trading and portfolio…
On November 9, 2010, the Securities and Exchange Commission’s Office of Examinations and Inspections released a risk alert titled Observations from OCIE’s Examinations of Investment Advisers: Supervision, Compliance and Multiple Branch Offices. With focus on compliance programs, supervision, and investment advice, OCIE performed examinations of 40 advisers, targeting the main office of each adviser and…
Author: Amy D’Avella Key Bridge Compliance has been made aware of a new phishing attack against both FINRA members and SEC-registered investment advisers. The phishing email appears to be sent from FINRA and attempts to elicit confidential firm information (see representative email below). We would advise all RIAs to delete emails sent from the domain…
Author: Chris Payne On June 23rd, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert[1] intended to highlight the compliance issues observed during recent examinations of registered investment advisers that manage private equity funds or hedge funds. The Staff noted the popularity of these products—over 36 percent of investment advisers…
Maintaining proper books and records is a key component of your compliance program, but with so many rules and regulations to keep track of it can quickly become complicated. The current environment and the increase in working from home has added further complications to books and records maintenance for many advisors. In order to provide…
Key Bridge Compliance is excited to announce the promotion of our colleague Chris Payne to Managing Director. Chris joined Key Bridge Compliance in August as part of the acquisition of Graydon Compliance Solutions, where he had been serving as a Chief Compliance Officer since April 2018. Chris has over 14 years of financial services experience…
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