Navigating Risk & Regulations

Compliance Insights

Access compliance commentary from some of the industry’s leading consulting firms and attorneys. Clients can use their Schwab Advisor Center® credentials to download full white papers.

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Considerations for choosing the right compliance consultant for your advisory firm

Faced with growing federal and state regulations and increasing scrutiny, advisory firms need a well-developed, up-to-date compliance program to safeguard their clients, business and reputation. Many firms are turning to outside compliance consultants with specialized expertise to help navigate the increasingly complex regulatory landscape.

In the latest Compliance Review from Schwab, the author provides practical guidance advisors can use when vetting compliance consultants to make the right choice for each firm’s specific needs.

Compliance Reviews

  • Amendments to Form PF: Implementing the first phase

    The Securities and Exchange Commission's (SEC) recent amendments to Form PF introduce new reporting requirements for large hedge fund advisers and all private equity fund advisers. The amendments significantly expand the reporting obligations of affected advisers, including new requirements to report the occurrence of certain triggering events in a shortened timeframe.

  • New amendments to the Marketing Rule: Key changes and practical considerations

    The SEC's amendments to Rule 206(4)-1 (the "Marketing Rule") of the Investment Advisers Act of 1940 went into effect in May 2021. The objective was to modernize advisors' marketing due to new technologies and methods of client outreach. However, many advisors continue to have questions about this complex rule and how it affects their business practices. In light of such concerns, we are re-distributing a 2021 Compliance Review that thoroughly discusses implications for advisors.

  • Advisor acquisitions: Identifying risk and opportunity

    The RIA industry is experiencing unprecedented M&A activity. For any such transaction to succeed, both parties must understand the risks and opportunities. Because M&A transactions can have a significant impact on client service and satisfaction, firms need to think strategically about both parties' goals and motivations before entering into any agreement. Key factors to consider include the alignment of business and culture "fit" and the firm's legal and compliance risk. 

Read more Compliance Reviews

Read more Compliance Reviews

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