Alert: The Colorado Division of Securities Publishes an Investment Adviser Guide to Help Firms Stay in Compliance
The Colorado Division of Securities (the “Division”) has released an Investment Adviser Guide to assist state-licensed investment adviser firms in their compliance with the Colorado Securities Act and Rules.
The Division staff routinely examines firms for compliance. Culled from their extensive experience, the staff has drafted this Guide to highlight some common deficiencies, best practices and tips for compliance.
The Guide along with other regulatory information including what to expect on an exam can be found on the Division’s website at “For Firms and Industry Professionals.” The Guide can be accessed directly here. If you have any questions or need to contact the Division, our phone number is 303-894-2320 or you can email us at dora_SecuritiesWebsite@state.co.us.
PLEASE DO NOT REPLY DIRECTLY TO THIS EMAIL
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About the Division of Securities:
The Division of Securities exists to protect investors and maintain confidence in the securities market, while avoiding unreasonable burdens on the marketplace by licensing securities professionals, enforcing securities law violations, and helping Coloradans become more informed investors.
About DORA:
DORA is the state's umbrella regulatory agency, charged with managing licensing and registration for multiple professions and businesses, implementing balanced regulation for Colorado industries, and protecting consumers. Our nearly 600 employees are dedicated to preserving the integrity of the marketplace and promoting a fair and competitive business environment throughout Colorado.
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