Adviser Compliance Consulting

ACC will be exhibiting at the NSCP National Conference in Dallas, Oct. 27-30. Stop by booth #33 to meet us! Our President and Founder Tito Pombra will also be participating in a panel discussion, Annual Review of Policies and Procedures, during the event. The discussion will: ➡️ Explore best practices for conducting an effective process and appropriate testing scenarios. ➡️ Explain how to address prior annual review findings/remediation and any compliance issues during the review period. ➡️ Discuss ways to draft a written report without creating regulatory liability and effectively communicate deficiencies to senior management. ➡️ Examine using the results of the annual review to update the firm’s overall compliance risk framework. We’re looking forward to seeing you at the NSCP National Conference! Learn more here: https://lnkd.in/d2MdBCuP #AdviserComplianceConsulting #ACC #NSCP #financialcompliance #compliance

SEC Charges Nine Investment Advisers in Ongoing Sweep into Marketing Rule Violations (via U.S. Securities and Exchange Commission): https://lnkd.in/eNPQdpif #SEC #MarketingRule #compliance #compliancenews

Adviser Compliance Consulting is thrilled to welcome Russ Lemley and Stephanie Barrett to the team! Russ Lemley is a senior compliance consultant and outsourced CCO at ACC. He has extensive experience in the global asset management industry, which includes more than 32 years in investment company/investment adviser compliance. His areas of expertise include regulatory exams, outsourced CCO support, annual reviews, mock SEC exams and policies and procedures development. Stephanie Barrett is a compliance consultant at ACC. She specializes in advertising and marketing reviews, registrations, regulatory filings, regulatory exams, policy updates and social media and email surveillance for SEC/state registered firms. Learn more about our dedicated and experienced team here: https://lnkd.in/g4AQGEsA #AdvisorComplianceConsulting #ACC #financialcompliance #compliance

SEC Adopts Reporting Enhancements for Registered Investment Companies and Provides Guidance on Open-End Fund Liquidity Risk Management Programs (via U.S. Securities and Exchange Commission): https://lnkd.in/dUZx84ja #SEC #financialcompliance #compliance #financialcompliancenews

A must read for private fund compliance professionals

📢 The Surge Ventures team is thrilled to announce the further expansion of our Industry Council, with the addition of four esteemed leaders in the wealth management & FinTech sectors. Please join us in welcoming Tito Pombra, Brian J. Costello, Chip Kispert & Mimi LeGaye to our distinguished council. 👋 Tito Pombra is Founder & President of Adviser Compliance Consulting. With over 25 years of experience in the global asset management industry, Tito is a thought leader in compliance best practices & regulatory exams. He brings invaluable expertise in building strong compliance cultures & supporting financial firms through various regulatory challenges. 👋 Brian Costello is Head of Open Banking Data Strategy and Governance at Morningstar Wealth Platform. Brian is a global expert in data strategy, risk, & governance. He has been a trusted advisor to regulators & policymakers, driving regulatory compliance & standards adherence in the financial data aggregation sector. 👋 Chip Kispert is Managing Partner at Beacon Strategies, LLC. Chip has dedicated his career to the wealth management industry, helping firms achieve their strategic objectives & growth ambitions. He is known for his consulting expertise & the popular Beacon Roundtable Series, fostering collaboration among industry leaders. 👋 Melinda ("Mimi") LeGaye is President and Founder at MGL Consulting LLC., LLC. Mimi has over 40 years in the securities industry, holding various senior positions & numerous FINRA registrations. She consults on compliance, regulatory risk, & cybersecurity for broker-dealers & registered investment advisors. Her expertise includes federal & state regulations, compliance technology, M&A transactions & training programs. 💼 These visionary leaders join our impressive existing Industry Council members, including: Jason Lish (Chairman) - Chief Security Officer, Cisco, Larry Roth CPA, JD, CPA, JD - Managing Partner of RLR Strategic Partners, Neil Daswani, PhD - CISO, QuantumScape, Matthew Martin – Former SVP and Deputy CISO, LPL Financial, Geoff Moore – CIO, Valmark Financial Group, John Rostern – Former SVP and Global Lead - Cloud & Infrastructure Security Services at NCC Group, Nimesh Mehta – Chief Information Officer at National Life Group, Joseph Kuo – CEO & Founder of Haven Tower, and Ann Robinson – Chief Compliance Officer at Farmers Group Insurance & Financial Solutions- No.1 Commercial Lines Insurance Agency in Southern CA. On this exciting news, our Founder & CEO, Sid Yenamandra said: “Our Industry Council is a virtual ‘Who’s Who’ in the wealth management & FinTech industries…” “They each bring years of hard-won knowledge & experience across different aspects of the broad financial services industry we are looking to support with the next generation of technology solutions.” 👉 Please join us in welcoming our new Industry Council members! Visit - https://lnkd.in/gsMvXpNf #WealthManagement #FinTech #Compliance #DataSecurity #RegTech #WealthTech

ACC is proud to partner with Aer Compliance, a leading provider of RIA compliance technology solutions. This partnership enables us to provide our clients with a tech-forward compliance approach that works for everyone – from CCOs to GCs. Performing marketing reviews can put a strain on your firm’s team, time and budget. Aer’s marketing review technology acts as an extra member of your compliance team by doing the initial review for you. Here are just a few ways it can help: ➡️ Automate reviews: Our AI technology automatically reviews your firm’s marketing content for unsubstantiated statements of material facts, gross vs. net performance, improper disclosures and more — leading to faster approval. ➡️ Increase efficiency: Our technology streamlines the review process, unlocks more time for your compliance team and saves you money on legal reviews. ➡️ A single source of truth: With an intuitive books and records workflow, our technology provides a single source of truth for your marketing review, so you will be ready for your next exam. Learn more about Aer Compliance’s AI-powered SEC marketing review tool, as well as their automated Employee Code of Ethics Suite: https://lnkd.in/eBaWu_kY #AdviserComplianceConsulting #AerCompliance #financialcompliance #financialservices #compliance #complianceservices

Happy international Pets day. Love this guy. So much joy ❤️

U.S. securities class action filings rise (via Investment Executive): https://lnkd.in/e4GXdFES #SEC #financialcompliance #financialcompliancenews #compliance #InvestmentExecutive