Episode 5 - Examination Evolution: A Fresh Look at SEC Exam Trends and Insights

Episode 6 - 2026 IAA Compliance Conference Recap

Registered investment advisers are operating in an environment where SEC exams, enforcement priorities, and technology risks continue to evolve. At the recent Investment Adviser Association conference in Washington, DC, regulators emphasized cooperation and remediation, a renewed focus on fraud and market manipulation, and ongoing scrutiny of marketing and advertising practices. Our Investment Management & Securities team helps RIAs translate those themes into practical steps. The conference highlighted several areas that should be on every adviser’s radar: avoiding “no conflicts of interest” claims on websites and marketing materials, carefully handling testimonials and third‑party ratings, and reviewing dual‑hatted adviser arrangements where brokerage and advisory services intersect. The discussions also underscored the importance of cybersecurity programs, Reg SP incident response planning for smaller advisers, and thorough vendor due diligence for technology and AI tools that handle client data. Many firms are moving cybersecurity out of a short policy section and into a dedicated manual with its own processes, procedures, and data‑mapping expectations. By staying ahead of these developments, RIAs can respond more effectively to exam findings, remediate issues, and align their policies, procedures, and disclosures with current expectations. For information purposes only; not legal advice. Results may vary depending on your particular facts and legal circumstances. No aspect of this advertisement has been approved by the Supreme Court of New Jersey.

Episode 5 - Examination Evolution: A Fresh Look at SEC Exam Trends and Insights

This podcast provides general legal information and commentary only. It is not intended as legal advice, nor does it create an attorney-client relationship. For more information about Stark & Stark’s services, please visit www.stark-stark.com [https://www.stark-stark.com/].

Episode 4 - From Compliance to Creativity: Balancing Marketing Rule Compliance and Innovative Marketing

Registered investment advisors face increasing scrutiny under the SEC’s marketing rule, particularly around testimonials, endorsements, third‑party awards, and online reviews. Recent examinations show that enforcement is no longer theoretical—firms of all sizes are being fined for disclosure failures, even where violations appear minor. Our Investment Management & Securities Compliance Attorneys advise RIAs nationwide on how to market their services while remaining aligned with regulatory expectations. Common risk areas include advisor websites, Google reviews, social media profiles, email signatures, and the use of logos or plaques tied to awards and rankings. In many cases, deficiencies arise not from false statements, but from missing, inadequate, or improperly displayed disclosures. We work with advisors to review marketing materials, assess compliance risk, and implement practical disclosure strategies that reflect current regulatory guidance. As enforcement evolves, maintaining fair and balanced advertising practices remains critical. This podcast provides general legal information and commentary only. It is not intended as legal advice, nor does it create an attorney-client relationship. For more information about Stark & Stark’s services, please visit www.stark-stark.com [https://www.stark-stark.com/].

Episode 3 - Basic Blocking and Tackling: The RIA Playbook for Compliance Tasks

RIA compliance tasks are not something firms can “set and forget.” In this episode, Stark & Stark’s investment management and securities lawyers walk through the daily, monthly, quarterly, and annual compliance work RIAs need to stay exam-read,  from filings to testing to internal controls. This podcast provides general legal information and commentary only. It is not intended as legal advice, nor does it create an attorney-client relationship. For more information about Stark & Stark’s services, please visit www.stark-stark.com [https://www.stark-stark.com]

Episode 2 - Tech Trends: Bitcoin, AI, & Electronic Communication

Investment advisers face rapid changes in technology, from artificial intelligence tools to Bitcoin and electronic communications. Learn how AI note-taking tools impact privacy, attorney-client privilege, and Reg SP compliance. Discover why texting and off-channel communications can trigger SEC scrutiny, and how to keep all business-related messages on compliant platforms. The attorneys also discuss the rise of Bitcoin and crypto ETFs in client portfolios, emphasizing the importance of due diligence, client disclosures, and risk management.  This podcast provides general legal information and commentary only. It is not intended as legal advice, nor does it create an attorney-client relationship. For more information about Stark & Stark’s services, please visit www.stark-stark.com