ACS' Compliance Cast

ACS' Compliance Cast

Latest Episodes

2023 Custody Review Checklist Walkthrough
September 15, 2023

Scott walks through the 2023 Custody Review Checklist and describes constructive custody as it relates to Direct Fee Deduction and Standing Letters of Authorization.

Investment Adviser Representative Continuing Education
June 13, 2023

Scott discusses Investment Adviser Representative Continuing Education Requirements including a rundown of states that have adopted of the rule (as of May 2023), the requirements of the Model Rule that the states are either adopting or working from, how t

Best Execution Review Podcast
December 05, 2022

Lori provides a brief description/explanation of the Best Execution Review along with some of the background as to why it's necessary.

Compliance Manual Updates 2022
October 12, 2022

In this episode, Scott and Lori discuss the changes made to the compliance manual. Policies and procedures for the DOL's PTE 2020-02, the SEC's advertising rule, and other updates are covered.

Marketing Overview Discussion
September 27, 2022

Scott and Lori introduce and explain a new flow chart for advisers to use as a tool to determine if their communication is marketing under the new rule, what is impermissible under the new Marketing Rule, and what sorts of information specific kinds of ma

Lite Services Custody Review Discussion
July 20, 2022

Scott describes and discusses the upcoming Custody Review for the ACS Lite Services' clients and goes through the review question by question addressing the potential questions and insights for each.

Custody Review Tutorial
July 19, 2022

In this episode, Scott talks about the Custody Review for 2022, including the basic mechanics like who's getting what and what to do with it as well as a question-by-question discussion of the 2022 Review Checklist with analyses of Custody principles gene

PTE 2020-02
May 23, 2022

In this episode, Lori discusses the DOL's most recently updated prohibited transaction exemption, PTE 2020-02, and it's requirements.

Cybersecurity 4.28.2022
April 28, 2022

This episode discussed the proposed new SEC Cybersecurity Rule briefly and extensively discusses Cybersecurity and the basis for the Annual Cybersecurity Testing and Risk Assessment promulgated by Adviser Compliance Services.