IA Compliance: The Full 360° View East
March 21-23 | Washington, D.C.

IA Compliance: The Full 360° View Midwest
June 25 | Chicago, IL
Conquering Current Compliance Challenges
Mar. 7, 2018 | 2:00 - 2:30 PM EST

FinTech: What It Is and How Its Promise Will Affect You Going Forward
Mar. 27, 2018 | 2:00 - 3:00 PM EST
CLE/CPE Approved 
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: Feb. 7, 2018 
 
Your Complete Guide to the New Form ADV
Includes: 20 Best Practices, 6 Peer-tested Tools and a 60-minute 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
TOP STORIES
IA
2/15/2018
The whole culture changed at Phoenix’s Alpha Fiduciary ($401M in AUM) after the RIA settled an advertising enforcement action that held the firm “fail...
BD
2/15/2018
FINRA wants to make it much harder for you to get customer dispute information removed from its public registration system. Your peers are doing all t...
CPO/CTA
2/15/2018
The wild west of FinTech may have to be corralled before innovations like Blockchain or distributed ledger technology enjoy the widespread use its pro...
Latest News
2/15/2018 | Content areas: Investment Adviser

The SEC’s FY 2019 budget request tackles a three years running flat budget and two-year hiring freeze in a bid to stay on top of the growing and ever-...

2/15/2018 | Content areas: Investment Adviser

Among the plethora of changes you face in updating your new Form ADV, Part 1 you’ll find two items that zero in on your payment for client referrals. ...

2/15/2018 | Content areas: Investment Adviser | Broker-Dealer

Deutsche Bank Securities will be reimbursing certain of its commercial mortgage-backed securities customers who overpaid for CMBS after being misled a...

© 2018 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US