IA Compliance: The Full 360° View Midwest
June 25 | Chicago, IL

Cybersecurity for Financial Services
July 23 | New York City

Commitment to Compliance
September 17 | Philadelphia
Conquering Current Compliance Challenges
June 20, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: May 9, 2018 
 
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

Your Complete Guide to the New Form ADV
Includes: 20 Best Practices, 6 Peer-tested Tools and a 60-minute Webinar 

 
BREAKING NEWS
Here’s what the new financial reform legislation would mean to you
5/23/2018

It’s very likely President Trump will soon sign into law S. 2155, the bi-partisan financial reform legislation that cleared Congress last week. It wou...

TOP STORIES
IA
5/17/2018
One year after the Supreme Court ruled unanimously that the SEC can go back only five years after filing a legal action to retrieve ill-gotten gains, ...
IA
5/17/2018
After the offices of his private attorney were raided by authorities, President Trump stated that attorney-client privilege is dead in the U.S.   You’...
BD
5/17/2018
The requirements placed on Chardan Capital Markets CCO/AML director were clearly spelled out in the New York-based brokerage firm’s anti-money launder...
Latest News
5/21/2018 | Content areas: Investment Adviser

A new study finds only 17% of respondents expressed that they were very satisfied “with the effectiveness of their compliance program.” Nearly half (4...

5/21/2018 | Content areas: Investment Adviser

The SEC must have gotten something right with its three fiduciary duty proposals if it could both upset and please those who wish for a tougher best i...

5/17/2018 | Content areas: Investment Adviser

The question came up recently: Could an adviser tape record SEC examiner interviews with staff?   “I understand why somebody would want to” tape exami...

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