{"id":763,"date":"2023-03-13T06:00:12","date_gmt":"2023-03-13T10:00:12","guid":{"rendered":"https:\/\/cornerstoneportfolioresearch.com\/?p=763"},"modified":"2023-03-31T15:51:23","modified_gmt":"2023-03-31T19:51:23","slug":"get-ready-for-the-may-investment-compliance-deadline-now","status":"publish","type":"post","link":"https:\/\/cornerstoneportfolioresearch.com\/outsourcing\/get-ready-for-the-may-investment-compliance-deadline-now\/","title":{"rendered":"Get Ready for the May Investment Compliance Deadline, Now"},"content":{"rendered":"<p><span style=\"font-weight: 400;\">The SEC has changed the rules again: In October of 2022, <\/span><a href=\"https:\/\/www.sec.gov\/rules\/final\/2022\/34-96034.pdf\" target=\"_blank\" rel=\"noopener\"><span style=\"font-weight: 400;\"><strong>they amended<\/strong><\/span><\/a> <span style=\"font-weight: 400;\">Exchange Act Rule 17a-4,<\/span><span style=\"font-weight: 400;\"> adding new record-keeping requirements. On the upside, broker-dealers no longer have to follow the \u201cwrite once, read many\u201d (WORM) format. The newer option is the new audit-trail means of electronic documentation.<\/span><\/p>\n<p><span style=\"font-weight: 400;\">The resulting broker-dealers\u2019 investment compliance date is May 3, 2023\u2014which leads to the question: Are you ready? Would you like to be, <\/span><i><span style=\"font-weight: 400;\">without <\/span><\/i><span style=\"font-weight: 400;\">enduring a bunch of chaos and tedium in the course of preparing?\u00a0<\/span><\/p>\n<h3><b>This article answers these questions:<\/b><\/h3>\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">What\u2019s changed in the <\/span><span style=\"font-weight: 400;\">investment c<\/span><span style=\"font-weight: 400;\">ompliance rules?<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">How much time can you spare to get ready?<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">What if there is an easier way to prepare?<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Could an OCIO be the solution you need?<\/span><\/li>\n<\/ul>\n<h2><b>What\u2019s Changed in the <\/b><b>Investment<\/b><b> Compliance Rules?<\/b><\/h2>\n<p><span style=\"font-weight: 400;\">The <\/span><strong><a href=\"https:\/\/luxxle.com\/redirect?url=https%3A%2F%2Fwww.sec.gov%2F\" target=\"_blank\" rel=\"noopener\">United States Securities and Exchange Commission (SEC)<\/a><\/strong><span style=\"font-weight: 400;\"> released a final ruling late last fall. <\/span><span style=\"font-weight: 400;\">The update<\/span><span style=\"font-weight: 400;\"> covers seven areas: retention format, download and transfer, verification, backups (redundant recordkeeping systems), facilities, senior management responsibility, and cloud service providers.<\/span><\/p>\n<p><span style=\"font-weight: 400;\">Changes to each include:<\/span><\/p>\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><b>Retention format.<\/b><span style=\"font-weight: 400;\"> Broker-dealer firms still have the option of using the WORM approach to document their compliance. In fact, by some reports, FINRA has concluded that if you wanted to, you could opt for a hybrid approach, keeping records using WORM in some instances while opting to create an audit trail for others. To date, the SEC hasn\u2019t addressed this specifically (and it might mean fewer headaches by sticking with one method), but it seems permissible.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><b>Download and transfer.<\/b><span style=\"font-weight: 400;\"> Records in proprietary and native file formats must be ready for downloading and copying\u2014audit trail included, where applicable\u2014into both a usable electronic format and a human-readable one. Similarly, information necessary for locating the electronic record must be readily available for download and transfer.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><b>Verification.<\/b><span style=\"font-weight: 400;\"> Nothing huge is different here. The accuracy of your recording process still has to be automatically verified. Where the legacy rule required verifying the \u201cquality,\u201d the new version specifies the \u201ccompleteness,\u201d instead.\u00a0<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><b>Backups. <\/b><span style=\"font-weight: 400;\">If your recordkeeping is electronic, it must&#8230;<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Meet Rule 17a-4(f)\u2019s requirements, retaining a redundant set of records (should the primary system fail).<\/span><\/li>\n<\/ul>\n<p><i><span style=\"font-weight: 400;\">Or\u2026<\/span><\/i><\/p>\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"3\"><span style=\"font-weight: 400;\">Keep other contingencies for ensuring access to records with an equal level of redundancy to your primary recordkeeping.<\/span><\/li>\n<\/ul>\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><b>Facilities.<\/b><span style=\"font-weight: 400;\"> At all times, your electronic\/physical records still have to be readily producible. Where before, firms were tasked with providing information conducive to accessing any indexes\/records stored, now you must be able to produce <\/span><i><span style=\"font-weight: 400;\">the actual records,<\/span><\/i><span style=\"font-weight: 400;\"> themselves, immediately.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><b>Senior management responsibility.<\/b><span style=\"font-weight: 400;\"> A member of your senior management can be selected to serve as your designated executive officer. This person then becomes responsible for producing records for regulators, should your firm fail to. While assigning this duty is an option, technically, it\u2019s not essential. However, only a designated unaffiliated third party (D3P) is considered eligible for the role.\u00a0<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><b>Cloud service providers.<\/b><span style=\"font-weight: 400;\"> Traditionally, any D3P preparing or maintaining broker-dealer regulatory records electronically or on paper has had to file a written-and-signed undertaking with the SEC. This agreement specifies, essentially, that the third party will cooperate fully with examination requests from the SEC and its staff.\u00a0<\/span><\/li>\n<\/ul>\n<p><span style=\"font-weight: 400;\">The specifics run longer than we have space for here, but the new rules bring a degree of breathing room: Cloud service providers can now file what\u2019s referred to as an \u201calternative\u201d agreement recognized by the SEC. This allows them to meet their requirements as recordkeepers without giving the SEC access to a broker-dealer\u2019s records or producing them if requested to.\u00a0<\/span><\/p>\n<p>&nbsp;<\/p>\n<h3 style=\"text-align: center;\"><a href=\"https:\/\/cornerstoneportfolioresearch.com\/about-us\/\" target=\"_blank\" rel=\"noopener\"><b><i>Had Trouble Hiring a CIO? That Could Turn Out To Be a Great Thing for Your Firm<\/i><\/b><\/a><\/h3>\n<p>&nbsp;<\/p>\n<h2><b>How Much Time Can You Spare To Get Ready?<\/b><\/h2>\n<p><i><span style=\"font-weight: 400;\">Right now <\/span><\/i><span style=\"font-weight: 400;\">is the best time to assess your current <\/span><span style=\"font-weight: 400;\">investment-related compliance processes <\/span><span style=\"font-weight: 400;\">and documentation procedures to see where improvements can be made. You should also begin looking into any technology or software updates necessary for meeting the new requirements. This may include anything from document management systems to cyber security solutions.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">Little, if any of this can be done overnight. So, unless you\u2019re happy to add a solid weekend to your work hours or cut back on sleep, you\u2019ll have to block out some time. You could consider subtracting from the hours you have allocated to nurture client relationships and encourage retention. However, when the economy\u2019s already got people nervous, I can\u2019t recommend doing that.<\/span><\/p>\n<h2><b>What if There Is an Easier Way To Prepare?<\/b><\/h2>\n<p><span style=\"font-weight: 400;\">Hiring a professional who specializes in helping independent broker-dealers meet SEC requirements, instead, is a far better way to meet your<\/span><span style=\"font-weight: 400;\"> investment-related compliance <\/span><span style=\"font-weight: 400;\">deadlines. A qualified <\/span><strong><a href=\"https:\/\/connect.cornerstoneportfolioresearch.com\/ebook-10-Ways-an-OCIO-Can-Help\" target=\"_blank\" rel=\"noopener\">outsourced chief investment officer (OCIO)<\/a><\/strong><span style=\"font-weight: 400;\"> will have an inside track on all of the necessary changes, even over the long term.<\/span><\/p>\n<p><span style=\"font-weight: 400;\">The OCIO model can become an invaluable resource, providing advice on what needs to be done for your firm to stay<\/span><span style=\"font-weight: 400;\"> investment-compliant<\/span><span style=\"font-weight: 400;\"> now and in the future. Additionally, they can help you identify any gaps in your existing processes and procedures in time to make the necessary adjustments well ahead of the May filing deadline.<\/span><\/p>\n<p><span style=\"font-weight: 400;\">With specialized expertise and experienced guidance, they can help ensure that all your documents are accurate and up-to-date, reducing paperwork, stress, and procedural headaches. Furthermore, they can evaluate key performance indicators (KPI) on a regular basis, helping maximize potential earnings as you approach future deadlines.<\/span><\/p>\n<h2><b>Could an OCIO Be the Solution You Need?<\/b><\/h2>\n<p><img loading=\"lazy\" decoding=\"async\" class=\"wp-image-764 alignleft\" src=\"https:\/\/cornerstoneportfolioresearch.com\/wp-content\/uploads\/2023\/03\/Cornerstone-march-blog-investment-compliance-image-2-300x225.jpeg\" alt=\"ocio providers, investment compliance\" width=\"235\" height=\"176\" srcset=\"https:\/\/cornerstoneportfolioresearch.com\/wp-content\/uploads\/2023\/03\/Cornerstone-march-blog-investment-compliance-image-2-300x225.jpeg 300w, https:\/\/cornerstoneportfolioresearch.com\/wp-content\/uploads\/2023\/03\/Cornerstone-march-blog-investment-compliance-image-2-768x576.jpeg 768w, https:\/\/cornerstoneportfolioresearch.com\/wp-content\/uploads\/2023\/03\/Cornerstone-march-blog-investment-compliance-image-2.jpeg 800w\" sizes=\"(max-width: 235px) 100vw, 235px\" \/><\/p>\n<p><span style=\"font-weight: 400;\">As far as I\u2019m concerned, <a href=\"https:\/\/cornerstoneportfolioresearch.com\/why-an-outsourced-cio-could-be-your-shrewdest-investment\/\" target=\"_blank\" rel=\"noopener\"><strong>an outsourced CIO<\/strong><\/a> is a possible edge on competitors that you almost can\u2019t afford to pass up. You could recoup work hours as well as prevent losing them to <\/span><span style=\"font-weight: 400;\">compliance tasks for investments. Offload<\/span><span style=\"font-weight: 400;\">ing time-consuming documentation and methodology matters to a vetted professional has a way of doing that.<\/span><\/p>\n<p><span style=\"font-weight: 400;\">Better yet, there\u2019s the price tag: You pay the OCIO\u2019s salary\u2014and that\u2019s all. There are no executive bonuses to pay, no benefits to cover\u2026 you don\u2019t even have to share room in the office fridge. This dedicated professional works the same business week you do (even meeting with clients, if you choose), but there are none of the costs associated with hiring a heavy hitter to work under your brick-and-mortar roof.\u00a0<\/span><\/p>\n<p><strong><a href=\"https:\/\/cornerstoneportfolioresearch.com\/\" target=\"_blank\" rel=\"noopener\">Cornerstone Portfolio Research<\/a><\/strong><span style=\"font-weight: 400;\"> is ready to be your OCIO providers. <\/span><strong><a href=\"https:\/\/cornerstoneportfolioresearch.com\/contact-us\/\" target=\"_blank\" rel=\"noopener\">Contact us<\/a><\/strong><span style=\"font-weight: 400;\"> to learn more.<\/span><\/p>\n<p><a href=\"https:\/\/connect.cornerstoneportfolioresearch.com\/ebook-10-Ways-an-OCIO-Can-Help\" target=\"_blank\" rel=\"noopener\"><img loading=\"lazy\" decoding=\"async\" class=\"aligncenter wp-image-707 size-medium\" src=\"https:\/\/cornerstoneportfolioresearch.com\/wp-content\/uploads\/2023\/01\/10-Ways-an-OCIO-Can-Help-234x300.png\" alt=\"10 Ways an OCIO can help financial advisors\" width=\"234\" height=\"300\" srcset=\"https:\/\/cornerstoneportfolioresearch.com\/wp-content\/uploads\/2023\/01\/10-Ways-an-OCIO-Can-Help-234x300.png 234w, https:\/\/cornerstoneportfolioresearch.com\/wp-content\/uploads\/2023\/01\/10-Ways-an-OCIO-Can-Help.png 462w\" sizes=\"(max-width: 234px) 100vw, 234px\" \/><\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>The SEC has changed the rules again: In October of 2022, they amended Exchange Act Rule 17a-4, adding new record-keeping requirements. On the upside, broker-dealers no longer have to follow the \u201cwrite once, read many\u201d [&hellip;]<\/p>\n","protected":false},"author":5,"featured_media":765,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"footnotes":""},"categories":[13],"tags":[15,14,9],"class_list":["post-763","post","type-post","status-publish","format-standard","hentry","category-outsourcing","tag-investment-research","tag-ocio","tag-outsourcing-for-financial-advisors"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v23.9 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Get Ready for the May Investment Compliance Deadline, Now - Cornerstone Portfolio Research<\/title>\n<meta name=\"description\" content=\"In October of 2022, the SEC amended Exchange Act Rule 17a-4, adding new record-keeping requirements. Are you ready? 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