Conquering Current Compliance Challenges
Nov. 14, 2018 | 2:00 - 2:30 PM EST

Ethics: The Compliance Officer’s Role in Encouraging Your Firm
to Do the Right Thing

Oct. 23, 2018 | 2:00 - 3:00 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: October 10, 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
10/18/2018
Query Webster’s and you find a “fiduciary” defined as “one who acts ... in a fiduciary capacity.”   The adjective offers more help: “involving a confi...
IA
10/18/2018
We’ve told you before of James Winkelmann and his St. Louis-based advisory firm, Blue Ocean Portfolios (IA Watch, March 23, 2017). He had the misfortu...
IA
10/18/2018
A new “no-action” letter from the SEC’s Division of Investment Management permits mutual fund boards to hand off to their CCOs the job of confirming e...
Latest News
10/18/2018 | Content areas: Investment Adviser

Agreement over a uniform fiduciary duty standard is as rare as snow in October but one consensus seems to be that the industry has adopted new steps t...

10/18/2018 | Content areas: Investment Adviser

A new report by the SEC details public companies targeted by cyber scammers, serving as a wake-up call for the industry. Of the nine companies eyed by...

10/18/2018 | Content areas: Investment Adviser

A focus on cryptocurrency offerings has been a major driver in pushing state enforcement actions against unregistered firms and individuals to new hei...

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