Conquering Current Compliance Challenges
Mar. 13, 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

 
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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