Category: Compliance

20
Feb

How The LexisNexis Integration Helps You Manage OFAC Compliance

The new LexisNexis integration screens client information against the prohibited person and prohibited entity lists that are published by the US Treasury’s Office of Foreign Assets Control (OFAC) and the Commerce Department.

The post How The LexisNexis Integration Helps You Manage OFAC Compliance appeared first on Orion Advisor Services.

06
Feb

Basic Training on What You Need to Do with Form 13F

Orion’s Compliance Manager offers suggestions for your advisory firm to know when to file Form 13F and what you need to know about using Orion to support your compliance processes.

The post Basic Training on What You Need to Do with Form 13F appeared first on Orion Advisor Services.

30
Dec

The Early Bird Gets The FORM ADV Data Worm

orion compliance adv updates

We like to keep our clients stress free and joyful throughout the ADV season. That’s why we created the ADV Tab located in the Compliance Corner.

The post The Early Bird Gets The FORM ADV Data Worm appeared first on Orion Advisor Services.

19
Dec

Managing Client Communication With The New Archive Tool

Managing client communication can be difficult for a compliance department. The new Orion Archive tool simplifies the process.

The post Managing Client Communication With The New Archive Tool appeared first on Orion Advisor Services.

28
Nov

Compliance Technology Wins for 2017 (And What it Means for Advisors)

orion compliance adv updates

This year, Orion made several compliance-related changes including new tools and new staff. Here's an overview and what it means for you and your firm.

The post Compliance Technology Wins for 2017 (And What it Means for Advisors) appeared first on Orion Advisor Services.

03
Oct

Regulatory Changes For Advisors That Are More Exciting Than The New Game of Thrones Season

Regulatory changes for advisors became effective on October 1st. Review today’s blog to make sure your team is prepared.

The post Regulatory Changes For Advisors That Are More Exciting Than The New Game of Thrones Season appeared first on Orion Advisor Services.

13
Sep

Compliance Corner Takes Center Stage

Our Compliance Corner app is designed to help advisors get the results they need during an SEC audit. Read today's blog to learn more.

The post Compliance Corner Takes Center Stage appeared first on Orion Advisor Services.