Proposed SafeGuarding Rule (Custody)
Proposed Rule: Enhanced Safeguarding Rule for Registered Investment Advisers (Proposed Date: February 15, 2023) The proposed Enhanced...
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Coulter Strategic Services
- Sep 20
- 7 min
Adapting to New Requirements: A Guide to the Amended Regulation S-P
Advisory firms are subject to various regulations aimed at safeguarding client data, including the Red Flags Rule under the Fair Credit...
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Coulter Strategic Services
- Aug 20
- 6 min
PROPOSED REGULATORY RULES THAT WILL POTENTIALLY IMPACT ADVISORY FIRMS
As the regulatory landscape for Registered Investment Advisers (Firms ) continues to evolve, staying ahead of proposed rules is crucial...
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Coulter Strategic Services
- Aug 13
- 6 min
Navigating Hypothetical Performance Under the SEC Marketing Rule: Comprehensive Guidance
Introduction Hypothetical performance is a key component of the SEC’s Marketing Rule, which imposes specific criteria that firms must...
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Coulter Strategic Services
- Aug 5
- 3 min
Learning from the CrowdStrike and Microsoft Global Outage: A Crucial Lesson for Registered Investment Advisory Firms
The recent global outage caused by a faulty CrowdStrike update, which affected Microsoft Windows systems worldwide, serves as a critical...
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Coulter Strategic Services
- Jun 23
- 3 min
Balancing Innovation with Regulatory Compliance
We are pleased to announce the release of an insightful pre-recorded presentation titled "Balancing Innovation with Regulatory...
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Coulter Strategic Services
- Jun 21
- 3 min
Artificial Intelligence - Balancing Innovation with Regulatory Compliance
We are pleased to announce the release of an insightful pre-recorded presentation titled "Balancing Innovation with Regulatory...
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Coulter Strategic Services
- Jun 11
- 4 min
Compliance Lessons We Can Learn from an ETF Enforcement Case
The recent SEC enforcement action against Van Eck Associates Corporation (VEAC) offers several valuable compliance lessons for registered...
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Coulter Strategic Services
- Jun 3
- 1 min
Advisory Agreements/Mergers & Acquistitions
Coulter Strategic Services teams up with BrightStar Law Group for an in-depth session on Advisory Agreements and Mergers and...
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Coulter Strategic Services
- May 28
- 2 min
Marketing within Compliance - Marketing For Advisors
Join SBMC Consulting and Coulter Strategic Services for an insightful session featuring a compliance professional and a marketing expert...
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Coulter Strategic Services
- May 20
- 6 min
Mutual Fund Share Classes: Don't Forget to Review for Proper Share Classes as an Advisor
Introduction Mutual fund share classes have distinct characteristics that directly impact investment returns through varying fees and...
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Coulter Strategic Services
- May 14
- 6 min
Understanding and Complying with SEC Rule 206(4)-5: Political Contributions
Given that it is a Presidential Election year, it is crucial for firms to review their policies and ensure a thorough understanding of...
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Coulter Strategic Services
- May 6
- 4 min
Annual Review: Requirements and Implementable Guidance
The recent amendments to Rule 206(4)-7 under the Advisers Act mark a significant shift in regulatory requirements for investment advisers...
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Coulter Strategic Services
- Apr 26
- 14 min
Navigating the Challenges of the SEC’s Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers Rule Proposal
July 26, 2023, the United States Securities and Exchange Commission (SEC) proposed a rule to address risks to investors from conflicts of...
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Coulter Strategic Services
- Apr 23
- 3 min
Enhancing Client Relationship Management: Implementing KYC for Advisory Firms
As regulatory expectations continue to evolve in the financial advisory industry, registered investment adviser firms face increasing...
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Coulter Strategic Services
- Apr 16
- 4 min
Strengthening Marketing Compliance: Insights from Recent SEC Enforcement Actions
In light of recent SEC enforcement actions involving registered investment advisers, it's become increasingly clear that robust marketing...
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Coulter Strategic Services
- Apr 9
- 3 min
A Guide To Disclosure Delivery for Advisory Firms
Now that the Annual Update Amendment of Form ADV has been filed for the majority of advisory firms, it's time to shift focus to the...
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Coulter Strategic Services
- Apr 2
- 1 min
Avoid Fee Errors and Regulatory Deficiencies
Explore our free on-demand training session with Lacey Shrum and Lisa Marsden designed to provide invaluable insights into the complex...
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Coulter Strategic Services
- Mar 26
- 6 min
Lessons from recent Enforcement Cases
In the ever-evolving landscape of financial services, two firms, referred to here as Firm A and Firm B, recently found themselves in hot...
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Coulter Strategic Services
- Mar 19
- 4 min
Driving Compliance Excellence
Strategies for Effective Compliance Training Comprehensive training programs tailored to the diverse roles within a Registered Investment...
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