IA Compliance: The Full 360° View East
March 21-23 | Washington, D.C.
Conference
Conquering Current Compliance Challenges
Feb. 7, 2018 | 2:00 - 2:30 PM EST
Webinar

Last-Minute Guidance to Master the New Form ADV
Jan. 23, 2018 | 2:00 - 3:00 PM EST
Webinar
The SEC Examinations Priorities Handbook
Includes: 28 best practices, 20 Document Request Letters and 6 OCIE Risk Alerts

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance
BREAKING NEWS
Supreme Court agrees to hear adviser’s case that challenges SEC ALJ system
1/12/2018

An advertising case that led to an adviser being barred is now headed to the U.S. Supreme Court.   On Jan. 12th, the High Court ordered that it would ...

SEC’s liquidity risk management rule aimed at funds, not advisers
1/11/2018

With all current signs indicating larger mutual funds will have to have a liquidity risk management program in place by December, the SEC has released...

TOP STORIES
IA
1/11/2018
Our coverage of the new tax law last week purposely left out news that the measure eliminates the ability of taxpayers to take certain miscellaneous d...
BD
1/11/2018
FINRA has released its 2018 regulatory and examination priorities letter. The 10-page letter includes new topics as well as ongoing focus areas. Fraud...
CPO/CTA
1/09/2018
Regulators’ interest in bitcoin and other virtual currencies just took another big step.   The National Futures Association now requires CPOs and CTAs...
Latest News
1/11/2018 | Content areas: Investment Adviser

SEC officials won’t comment but it looks as if one of the 2018 predictions we’ve shared – that the agency’s transition planning/BCP proposal from 2016...

1/11/2018 | Content areas: Investment Adviser

Listen to the advocates of socially responsible investing and you’ll hear claims that you can achieve results comparable to broad market indexes witho...

1/11/2018 | Content areas: Broker-Dealer

Often lost in the shuffle when FINRA releases its annual regulatory and examination priorities letter is the regulatory component of the guidance. Whi...

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