Conquering Current Compliance Challenges
Mar. 13, 2019 | 2:00 - 2:30 PM EST

Strategies to Make this Year’s Form ADV Update a Breeze
Feb. 19, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: February 13, 2019 
  Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
BREAKING NEWS
OCIE’s first risk alert of 2019 targets transfer agents
2/13/2019

In recent years, OCIE has conducted 75 exams of transfer agents and now the grades are in.   OCIE’s latest risk alert sums up what troubled examiners ...

TOP STORIES
IA
2/14/2019
Maryland-based adviser Dawn Bennett once paid $1.4 million for a luxury suite at AT&T Stadium, a perch from which she watched the Dallas Cowboys play....
CPO/CTA
2/14/2019
If you’re with a CPO/CTA that claims an exemption from CFTC registration, be sure to re-affirm that exemption, if you still qualify for it, by March 1...
PF
2/14/2019
It took awhile but the federal agencies united in the Volcker rule finally have published their proposed changes. The Feb. 8th Federal Register reveal...
Latest News
2/14/2019 | Content areas: Investment Adviser

Call it love late in life. She was in her 60s when she met a man in his 70s. It would become the second marriage for both. They lived together for 15 ...

2/14/2019 | Content areas: Investment Adviser

Your aged clients make tempting targets for fraudsters because they’re believed to have money and could be manipulated into giving it away (see relate...

2/14/2019 | Content areas: Investment Adviser

Ajenifuja Investments, we hardly knew ya.   Kevin Ajenifuja hoped to launch an internet advisory firm so, in 2015, he registered the firm with the SEC...

2/14/2019 | Content areas: Investment Adviser

For the first time in two years, OCIE’s 2019 exam priorities letter didn’t call out robo-advisers as a key focus (IA Watch, Jan. 2, 2019). But does th...

2/14/2019 | Content areas: Broker-Dealer

It goes without saying that you should be scrupulously reviewing and retaining business-related e-mails. But when FINRA staff makes a point of telling...

Compliance Toolbox

Save time with hundreds of peer-tested tools and sample documents.

Content areas: CPO/CTA

For the first time, the CFTC is releasing exam priorities -- like the SEC has done for years. This document outlines the priorities for 2019.

Content areas: Investment Adviser

Form N-2 is to be used by closed-end management investment companies, except small business investment companies licensed as such by the United States...

Content areas: Investment Adviser

Form N-3 shall be used by all separate accounts offering variable annuity contracts which are registered under the Investment Company Act of 1940 (“19...

Content areas: Investment Adviser

Form N-4 shall be used by all separate accounts offering variable annuity contracts which are registered under the Investment Company Act of 1940 (“19...

Content areas: Investment Adviser

Form N-5 is to be used for registration under the Securities Act of 1933 of securities issued by any small business investment company which is regist...

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