Ford Keast LLP’s Post

The SEC Division of Examinations (Division) – established as the Office of Compliance Inspections and Examinations (OCIE) – is approaching its 30th anniversary. During that time, it has grown from about 500 staff members across three programs to more than 1,100 staff members across five programs, noted Division leadership in a message accompanying the Division’s 2025 Examination Priorities (Priorities). Since 2013 and as part of the Division’s continuing commitment to transparency, it has published annual examination priorities, highlighting the areas it believes to present the highest risks to investors and the markets. A key focus of the Priorities is adherence by investment advisers to fiduciary standards of conduct and the effectiveness of their compliance programs. This article discusses the portions of the Priorities most relevant to private fund advisers, with commentary from Carlo di Florio di Florio, president of ACA Group and former OCIE Director, and Kristin Snyder, partner at Debevoise & Plimpton & Plimpton and former Deputy Director of the Division and Head of its Investment Adviser/Investment Company Program. #HFLR #examinations https://lnkd.in/ejzwEysm

Private credit has been a hot topic for insurance investment teams in recent years. Join SS&C's Daniel Pallone and Scott Kurland at the IASA Carolinas Chapter 2024 Summer Conference where they will discuss the trends, opportunities and implications of the convergence between public and private credit investments. Learn more: https://ow.ly/sgrG30sF8qe

https://lnkd.in/eaG3S2Pi Excellent piece by Tobias Salinger in Financial Planning on a fiduciary issue that gets too little attention. That is consolidation or the M&A wave in the RIA world. Toby covers the different perspectives and the differing opinions among RIAs. There is a divide here. Kudos to NAPFA for putting investors first and speaking from their experiences with their own member firms in the trenches.

Private credit has been a hot topic for insurance investment teams in recent years. Join SS&C's Daniel Pallone and Scott Kurland at the IASA Carolinas Chapter 2024 Summer Conference where they will discuss the trends, opportunities and implications of the convergence between public and private credit investments. Learn more: https://ow.ly/CPem30sF8e6

HBKS Principal and Senior Financial Advisor Quinto Ambrosetti, CFP, talks about the depth of expertise within the firm and how he collaborates with his colleagues to best serve his clients. #financialadvisor #financialplanning #InvestmentManagement

The U.S. #DOL recently released its final #fiduciary rule, set to become effective in September. In our first eAlert on the topic, Partner Lisa Zimmer summarized the final regulation defining fiduciary #investment advice. In this second installment in a series of three, Lisa covers Amended Prohibited Transaction Exemption 2020-02 (PTE 2020-02). This amendment addresses administrative deficiencies cited in federal court decisions challenging the original version of PTE 2020-02.

I'm honored to share that I've been named to the 2024 Forbes list of the Top Next-Gen Wealth Advisors for the second consecutive year. I share this honor with my team and congratulate them on their dedication, knowledge, and outstanding client service, values that are reflected in this distinction. A special thanks to our clients, for the trust and confidence you place in us each and every day. #aiken #investments #sampsonwealthadvisorygroup #financialplanning #advisor #CFP®️ #CERTIFIEDFINANCIALPLANNER™️

Our team of CPAs and CFPs apply a fiduciary process to help create and implement comprehensive strategies. But what does being a fiduciary really mean? ⚖️ Aren't all financial advisors fiduciaries? 🤔 And why is having a fiduciary important? Get the answers here https://hubs.ly/Q02MZrMT0 #fiduciary #CPA #CFP #houstonretirementplanning #wealthmanagement #wealthplanning

🍨What “flavor” of independence do you prefer? Our Chief Growth Officer Abby S. weighs in on the options for independence RIAs have to choose from. “You want to leave, but do you want to fully conform to an independent platform…and their way of doing things?” #SupportedIndependence offers you a balance. 🌟 🗞️Be sure to check out the full article in Financial Planning: https://bit.ly/4c8GOsj #RIAoftheFuture #JoinRFG

As a woman, establishing yourself as a trusted financial advisor can be a longer journey due to implicit biases. In a recent article collaboration with MDRT and Aspire Magazine, Rubach Wealth: Holistic Family Advisors™ principal Elke Rubach LLB LLM CFP CLU MFA-P discusses the importance of advisors dedicating time to perfecting their craft and providing quality service to develop mutually beneficial client relationships. Read more here: https://lnkd.in/gHdZNbiM #FinancialAdvising #ClientRelationships