Surge Ventures Achieved SOC 2 Type II certification, it's a major achievement for Surge Ventures! It shows the company’s dedication to high-security standards and operational excellence, assuring clients and partners that their data is well-protected.
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Exciting news just in! RegVerse has been named a finalist in the prestigious Wealth Management Industry Awards 2024. This accolade underscores our team's unwavering commitment to innovation and excellence. It's a testament to the dedication and hard work poured into every aspect of our efforts.
Do you know what counts as a material change for your ADV? At RegVerse, we are here to help guide you on when your ADV may fall outside the annual filing and would need to be filed as a material change occurs.
Do you have visibility into the tasks your outsourced compliance consultant completes to evidence adequate supervision?
How much time will it take you to digest 476 pages of the DOL Retirement Security Rule?
Are you capturing all communications records you need for compliance with Rule 204? Don’t get caught short like other firms.
The ability to provide your compliance officer efficiency is key to a resilient and adaptable compliance program.
The CFTC is looking to regulate the bitcoin industry. Are you in the know on current efforts?
Laptop security is essential for wealth management as many professionals don’t just work from the office. Meetings where you take your laptop raise particular risks. Consider a clean desktop policy in addition to your suite of policies and procedures.
Do the headlines scare you away from reviewing how AI can enhance your compliance program? Responsible AI can put you ahead of the curve in monitoring and detection. Embracing the technology ahead of the curve will put your company on the path to a resilient compliance program.
Do you know the difference between general GPT models and custom AI models? Knowing the basic differences can help you decide how you can benefit from using AI in wealth management. Don’t let the rest of the world benefit from AI while you sit on the sidelines.
As a state RIA are you aware you have to file a BOI with FinCEN? While SEC registered RIAs are exempt, state RIAs are not. Read here for more information on how to file for 2024.
Laptop security is essential for wealth management as many professionals don’t just work from the office. Meetings where you take your laptop raise particular risks. Consider a clean desktop policy in addition to your suite of policies and procedures.
Do the headlines scare you away from reviewing how AI can enhance your compliance program? Responsible AI can put you ahead of the curve in monitoring and detection. Embracing the technology ahead of the curve will put your company on the path to a resilient compliance program.
Do you know the difference between general GPT models and custom AI models? Knowing the basic differences can help you decide how you can benefit from using AI in wealth management. Don’t let the rest of the world benefit from AI while you sit on the sidelines.
As a state RIA are you aware you have to file a BOI with FinCEN? While SEC registered RIAs are exempt, state RIAs are not. Read here for more information on how to file for 2024.
Do you understand the different types of Artificial Intelligence (AI)? Let us help you learn more about the types of AI and how they are used.
Avery by RegVerse and NIST are here to reassure you that AI can be added to your compliance program responsibly. Read and review the parameters NIST has developed so you are able to review programs for trustworthiness.
FinCen has proposed a new rule to combat AML threats in the Investment Adviser Sector. We encourage RAs to review this notice as the comment period is available until April 15, 2024. RAs should consider the operational impacts to their practice should this rule be approved.
Are you familiar with the 150 questions the SEC has drafted for Advisers to review for their compliance program? How do you organize and address all of this information? Review this list and then consider how Avery by RegVerse can improve your compliance program.
The standard settlement cycle will change in May 2024 from two business days after the trade date (T+2) to one (T+1). Are you ready to update your policies and procedures and will your computer systems be up to date? Take a look at our recommended steps to begin preparation.
Investor advocates are urging the SEC to prohibit registered investment advisors from including mandatory arbitration clauses in client contracts. They contend that these clauses restrict the ability of affected investors to recoup losses and constitute a violation of an RIA’s fiduciary responsibility.
Does your compliance oversight include the concept of professional skepticism? Read the latest statement from the SEC to understand what is being asked of auditors in how they approach their duties when they audit RIAs. Could your compliance program benefit from Avery by RegVerse to meet this standard?
The personal liability a Chief Compliance Officer has come under scrutiny as many of us struggle to stay informed and engaged as the new developments within the regulatory landscape continues to shift.
Kickstart the year with crucial updates from the SEC on cybersecurity disclosure rules, insights on annual Form ADV updates, the latest in RIA compliance (plus a helpful checklist for starting a new RIA), info on the proposed AI Rule, and other top industry news.
Surge Ventures Achieved SOC 2 Type II certification, it's a major achievement for Surge Ventures! It shows the company’s dedication to high-security standards and operational excellence, assuring clients and partners that their data is well-protected.
We are thrilled to share some exciting news—RegVerse, a flagship product of Surge Ventures, has been honored as a finalist in the prestigious ThinkAdvisor Luminaries Awards 2024!
The award-winning Avery platform now includes Fusion1 - a comprehensive suite of AI-enabled automated workflow tools to increase the reliability and accuracy of RIA and Broker-Dealer compliance and surveillance programs
Exciting news just in! RegVerse has been named a finalist in the prestigious Wealth Management Industry Awards 2024. This accolade underscores our team's unwavering commitment to innovation and excellence. It's a testament to the dedication and hard work poured into every aspect of our efforts.
Most cybersecurity policies start out life as a boilerplate or generic document. In the policy sample above, it would not be unreasonable for a firm with a dedicated Windows administration team managing an Active Directory environment to review access every 90 days. So, if your boilerplate document was targeted toward such a firm, such a requirement may well be in your policy.
Financial services, information technology (IT), and healthcare - are subject to a plethora of intricate regulations and compliance frameworks, because of their corresponding effects on the financial business sector, dynamic digitization project implementation-based economy, and the health infrastructure.
Ensuring compliance with the Securities and Exchange Commission (SEC) requirements is critical. One of the key elements in maintaining transparency and protecting investors is the accurate filing and updating of Form ADV
SEC has imposed a new cybersecurity regulation, the goal of this regulation is to ensure that investors are promptly informed about potential risks that could affect their investments.
1300 El Camino Real Suite 100
Menlo Park, CA 94025
(408) 320-0387
info@surgeventures.com
