Diane M. Currie
- Senior Compliance Consultant
My admin
- Valerie Butler
industries
practices
- Registers investment advisers with state or federal regulators
- Prepares disclosure documents such as Firm Brochure (ADV Parts 2A) and Brochure Supplement (ADV Part 2B)
- Assists investment advisers with regulatory filings including annual amendment, Form 13F and Form 13H
- Prepares and files Form U4 and Form U5 for investment adviser representatives (IARs)
- Sets up books and records/compliance infrastructure for newly registered investment advisers
- Provides CCO outsourcing support services
- Conducts Investment Adviser’s Act Rule 206(4)-7 reviews
- Prepares and conducts investment adviser mock regulatory examinations, SEC and state
- Develops and tailors compliance procedures
- Reviews
- Registers investment advisers with state or federal regulators
- Prepares disclosure documents such as Firm Brochure (ADV Parts 2A) and Brochure Supplement (ADV Part 2B)
- Assists investment advisers with regulatory filings including annual amendment, Form 13F and Form 13H
- Prepares and files Form U4 and Form U5 for investment adviser representatives (IARs)
- Sets up books and records/compliance infrastructure for newly registered investment advisers
- Provides CCO outsourcing support services
- Conducts Investment Adviser’s Act Rule 206(4)-7 reviews
- Prepares and conducts investment adviser mock regulatory examinations, SEC and state
- Develops and tailors compliance procedures
- Reviews advertising and marketing materials for compliance with Investment Adviser’s Act Rule 206(4)-1
- Designs and provides continuing education programs
- Assists with business continuity planning
- Plans and develops information security programs and written policies
- Improves monitoring system for client’s objectives, portfolio activity and account performance
- Prepares portfolio accounting reports, balancing through delivery
- Updates performance measurement records and disclosures to comply with GIPS® standards
- “Rollovers and the Revived DOL Fiduciary ‘Rule’,” Warner Webinar, May 24, 2022
- “Fiduciary Duties Under DOL PTE 2020-02 and Rollover Practices,” Warner Virtual CCO Roundtable, September 1, 2021
- “SEC Exams During COVID-19,” Warner Virtual CCO Roundtable, June 2, 2021
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- “Rollovers and the Revived DOL Fiduciary ‘Rule’,” Warner Webinar, May 24, 2022
- “Fiduciary Duties Under DOL PTE 2020-02 and Rollover Practices,” Warner Virtual CCO Roundtable, September 1, 2021
- “SEC Exams During COVID-19,” Warner Virtual CCO Roundtable, June 2, 2021
- “The Modernized Marketing Rule,” Warner Virtual CCO Roundtable, March 3, 2021
- “Rule 206(4)-7 Annual Review Requirement,” Warner CCO Roundtable, November 9, 2016
watch my videos
- What CEOs Need to Know About ComplianceLegally Speaking: Broker-dealer and Investment Adviser Industry Insights
- SEC Mock Exams + Why They’re ImportantLegally Speaking: Broker-dealer and Investment Adviser Industry Insights
- What CEOs Need to Know About Compliance
- SEC Mock Exams + Why They’re Important
- Warner Offers Financial Institution Documents in Compliance With PTE 2020-02
- New Requirements for Michigan-based Angel, Venture Capital and Private Fund Managers
- Michigan Proposes New Securities Act Ruleset ~ Public Comment Period Closes April 3, 2018
- New Requirements for Michigan-based Angel, Venture Capital and Private Fund Managers, 2/28/2020
- Michigan Proposes New Securities Act Ruleset ~ Public Comment Period Closes April 3, 2018, 3/21/2018
- Deadline Approaching: Warner Customized DOL Fiduciary Rule Compliance Materials for Financial Institutions and Advisors, 5/25/2017
- New Requirements for Michigan-based Angel, Venture Capital and Private Fund Managers, 2/28/2020
- Michigan Proposes New Securities Act Ruleset ~ Public Comment Period Closes April 3, 2018, 3/21/2018
- Deadline Approaching: Warner Customized DOL Fiduciary Rule Compliance Materials for Financial Institutions and Advisors, 5/25/2017
- President Obama nominates Mary Jo White as SEC Chairman, 1/28/2013
- Monitoring Crowdfunding on the Internet, 12/11/2012
- Be Aware, Email Based Wire Fraud Is On The Rise , 10/2/2012
- Resources for CCO and Compliance Staff, 7/24/2012
- SEC Announces Members of New Investor Advisory Committee, 4/11/2012
- OFIR No Longer Requires Annual Questionnaire, 3/22/2012
- Form ADV Annual Delivery Requirements, 3/19/2012
- New Requirements for Tracking NMS Trading, 2/20/2012
