Friendly XBRL Reminder for Foreign Filers

Posted by Angie Goertz on Oct 2, 2017 9:23:29 AM

Earlier this year, March 1, 2017 to be exact, the Securities and Exchange Commission announced that foreign private issuers (FPIs) following International Financial Reporting Standards (IFRS) and filing 20-F/40-F with the SEC in Edgar format now need to file in XBRL for fiscal periods ending on or after December 15, 2017.

Read More

Topics: Compliance, SEC, Securities and Exchange Commision, XBRL, IFRS, Foreign Filers

Testing, Testing: RIA Exams to Increase

Posted by Angie Goertz on Jun 30, 2017 12:18:48 PM

According to an Investment News report, despite a leaner Securities and Exchange Commission budget for the 2018 fiscal year beginning this October, registered investment advisors can expect more oversight, including a 5 percent increase in “risk-based examinations” to evaluate compliance with applicable regulatory requirements.

Read More

Topics: SEC, Investors, Securities and Exchange Commision, Investment Advisors, Transfer Agents, Broker-Dealers