Hill Compliance Advisors

09/22/2022

Climbed to the top...over 400 steps. Beautiful view of the Duomo below 🏃‍♀️

09/21/2022

03/10/2017

I’ll be speaking in Seattle May 16-19 for NAPFA’s Spring Conference. Sessions will offer important updates on risk management, tax and retirement planning, practice management, technology, marketing and more. If you’re attending, let’s connect. You can register and see full agenda at www.napfa.org/SpringConference.

Staying current on industry trends and keeping your network strong is important! NAPFA’s Spring Conference in Seattle this May is where it's at! 20+ CE, 100s of your financial peers to connect with. You can register and see full agenda at www.napfa.org/SpringConference.

09/15/2016

My blog posts aren't being posted to my Facebook profile any longer. You can check it out at http://twitter.com/

The latest Tweets from Cindi (). Compliance outsource for the busy RIA

09/15/2016

My blog posts aren't being posted to my Facebook profile any longer. You can check it out at www.hilladvisors.com

Hill Compliance Advisors provide comprehensive compliance services and solutions for the financial professional who is a Registered Investment Advisor (RIA). We believe Compliance can be relatively pain free and outsourced easily, freeing up time for the busy Chief Compliance Officer.

01/20/2015

Use of e-Signatures

The SEC began allowing the use of electronic signatures in 2001. It amended the books and records rule to permit electronic record keeping. Beyond this, there hasn't been much guidance from regulators regarding the use of e-signatures.

If you decide to go the e-signature route, be sure that you have specific policies in place as to who in the firm can use the process, for what documents, and what types of clients. Include in your process how you will verify the signature. In addition, you should keep written confirmation from the client that they intend to use e-signatures.

08/21/2014

Getting ready to begin my webinar on preparing of a Compliance Exam. There is still time to register for the second presentation on Tuesday, August 26.

08/05/2014

Are you Prepared for a Compliance Exam?
Free webinar
August 21 date SOLD OUT - Second session added - August 26

As the U.S. Securities and Exchange Commission (SEC) ramps up its examination of Never-Before-Examined investment advisers, now is the time for Registered Investment Advisors (RIAs) to prepare their firms to ensure a smooth examination process.

To learn more, join me this August 26th at 2:00PM ET for a free webinar offered for advisory firms where I will discuss the impact of the Never-Before-Examined list and what RIAs can do today to feel confident in the event of an audit. SEC and Non-SEC advisors will both benefit from this free webinar that also discusses best practices to encourage a firm-wide culture of compliance.

This webinar is offered by Junxure - Space is limited so register today at https://student.gototraining.com/rt/3427560734083903488

As the U.S. Securities and Exchange Commission (SEC) ramps up its examination of Never-Before-Examined investment advisers, now is the time for Registered Investment Advisors (RIAs) to prepare their firms to ensure a smooth examination process. In this free webinar presented by noted compliance cons…

04/22/2014

Cybersecurity Sweep Exams http://wp.me/p1LnlT-2B

On April 15th the SEC published OCIE Cybersecurity Initiative, a Risk Alert to provide information about its “initiative to assess cybersecurity preparedness in the securities industry.” Included in this Risk Alert is a four page sample list… [ 51 more words. ]

04/15/2014

Heartbleed http://wp.me/p1LnlT-2y

Reposted blog courtesy of Trumpet, Inc. As you are probably aware, a major vulnerability in Internet infrastructure (referred to as Heartbleed), was recently identified for OpenSSL, the popular encryption software used by a large percentage of the web… [ 691 more words. ]

03/07/2014

Technology Compliance Suggestions from Bill Winterberg http://wp.me/p1LnlT-2u

For those of you that don’t follow Bill Winterberg’s blog at FPPad.com, I suggest you start. This week’s video blog available at FPPad.com/123 has several great suggestions for compliance concerns such as bring your own device (personal…

03/05/2014

If you are involved in giving financial advice in one way or another, you're going to want to regsiter for this FREE event (http://bit.ly/1q75WnY)

Over 20 industry experts (they let me in as well!) are being interviewed to give two pieces of actionable advice.

Others who will be there, in case you're interested: Susan B Weiner, Kristen Luke, Financial Social Media, Bill Winterberg, Michael Kitces, Alan Moore, Impact Communications, Inc. - Founded by Marie Swift, New Planner Recruiting, LLC, Cindi Hill, Wired Advisor, Blueleaf"

Implement Now – Practice Management Telesummit
implement-now.com
Practice Management Telesummit

The art and science of effective practice management is all about moving beyond theory and getting into action.