IA Compliance: The Full 360° View East 
March 7-8, 2019 | Washington, D.C.

UPCOMING WEBINARS

Conquering Current Compliance Challenges
Dec. 12, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: November 14, 2018 
 
HANDBOOKS
  Includes: 9 Best Practices, 3 Proposed Disclosure Mockups
and a 60-minute Audio Webinar

The Adviser's Guide to SEC Advertising and Marketing Rules
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

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
11/21/2018
If you have your custodian automatically deduct your clients’ fees, be sure it can adjust for breakpoint discounts and can “household” the accounts.  ...
IA
11/21/2018
It wasn’t the first time the client had asked that his adviser transfer a couple hundred thousand dollars from his account to a third party. All seeme...
CPO/CTA
11/21/2018
The CFTC’s enforcement division either had a bad FY 2017 or a very good FY 2018.   The Commission’s annual report card on its enforcement numbers anno...
Latest News
11/21/2018 | Content areas: Investment Adviser

The goal for FY 2018 was for OCIE to examine 15% of IAs. Instead, examiners achieved examining 17% of the IA universe in the federal fiscal year that ...

11/21/2018 | Content areas: Investment Adviser

As OCIE demonstrated recently with its cash solicitation risk alert (IA Watch, Oct. 31, 2018), advisers often fail to show they’ve done due diligence ...

11/21/2018 | Content areas: Investment Adviser

In all honesty, if you’re an adviser with a mutual fund with more than $1 billion in assets, you should already have plans in place to comply with the...

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