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AdvisorAssist provides comprehensive compliance support through its Compliance Advantage Program

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Compliance Advantage | alerts.advisorassist.com Reviews

https://alerts.advisorassist.com

AdvisorAssist provides comprehensive compliance support through its Compliance Advantage Program

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alerts.advisorassist.com alerts.advisorassist.com
1

FINRA SAA Deadline - 12/12/15 ~ Compliance Advantage

http://alerts.advisorassist.com/2015/02/finra-saa-deadline-121215.html

Wednesday, February 11, 2015. FINRA SAA Deadline - 12/12/15. Stay up to date on Advisor requirements with AdvisorAssist. We welcome you to stay in touch by connecting on our social media channels. There was an error in this gadget. New Jersey Investment Adviser. New Jersey Investment Advisor. SEC to State Transition. FINRA SAA Deadline - 12/12/15. Colorado Division of Securities reminds investors . MA Securities Division - Compliance Training March. There was an error in this gadget.

2

Annual ADV Amendment - Due March 31st ~ Compliance Advantage

http://alerts.advisorassist.com/2015/03/annual-adv-amendment-due-march-31st.html

Tuesday, March 31, 2015. Annual ADV Amendment - Due March 31st. Stay up to date on Advisor requirements with AdvisorAssist. We welcome you to stay in touch by connecting on our social media channels. There was an error in this gadget. New Jersey Investment Adviser. New Jersey Investment Advisor. SEC to State Transition. Annual ADV Amendment - Due March 31st. There was an error in this gadget. 169; 2011. AdvisorAssist.com.

3

FINRA E-Bill Enhancements (Refunds & Alerts) ~ Compliance Advantage

http://alerts.advisorassist.com/2014/11/finra-e-bill-enhancements-refunds-alerts.html

Tuesday, November 4, 2014. FINRA E-Bill Enhancements (Refunds and Alerts). FINRA is finally adding some needed features to their E-Bill system. Effective November 4, 2014, FINRA has updated E-Bill to allow entitled users to request a refund from the Advisor's Flex-Funding Account via E-Bill. As always, if you have any questions, please email us at support@advisorassist.com. Posted in: Annual Renewal. There was an error in this gadget. New Jersey Investment Adviser. New Jersey Investment Advisor.

4

Colorado Division of Securities reminds investors to discuss cybersecurity with their financial professionals ~ Compliance Advantage

http://alerts.advisorassist.com/2015/02/olorado-division-of-securities-reminds.html

Tuesday, February 10, 2015. Colorado Division of Securities reminds investors to discuss cybersecurity with their financial professionals. Cybrsecurity is quickly becoming one of the largest risks to your firm. Here's a communication that Colorado is sending to the general public. This really applies to all advisors across all states. Colorado Division of Securities reminds investors to discuss cybersecurity with their financial professionals. Does the firm maintain insurance coverage for cybersecurity?

5

December 2013 ~ Compliance Advantage

http://alerts.advisorassist.com/2013_12_01_archive.html

Thursday, December 19, 2013. Colorado Securities Commissioner Sanctions UBS Financial Services Inc. Regarding Unlicensed Sales Assistants. For Immediate Release – December 18, 2013. Contact: Fred Joseph, Banking and Securities Commissioner or Gerald Rome, Deputy Securities Commissioner at 303-894-2320. Colorado Securities Commissioner Sanctions UBS Financial Services Inc. Regarding Unlicensed Sales Assistants. As part of the settlement, UBS has been censured and ordered to cease and desist from future vi...

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