Commitment to Compliance
September 18, 2017 | Boston, MA
Conference

Cybersecurity for Financial Services
October 6, 2017 | Washington, DC
Conference

IA Compliance: The Full 360° View West
November 2, 2017 | Los Angeles, CA
Conference
Conquering Current Compliance Challenges
September 27, 2017 | 2:00 PM - 2:30 PM EST
Webinar
 
BREAKING NEWS
New IM guidance permits placeholder responses in new Form ADV
8/14/2017

If the new information update from the SEC’s Division of Investment Management feels like déjà vu, that’s because we reported its essence five weeks a...

TOP STORIES
IA
8/17/2017
If you’re reading this while lying on a beach splashed with sun, please: put it down.   Enjoy your vacation.   Unfortunately, for many compliance offi...
IA
8/17/2017
If you’ve hired David Osunkwo to provide compliance services, you’ll want to search for an alternative – at least for the next year.   That’s because ...
CPO/CTA
8/17/2017
You’ve had 90 days to get ready for a new rule you’re likely to embrace.   The CFTC’s new recordkeeping rule takes effect Aug. 28, following its relea...
Latest News
8/17/2017 | Content areas: Investment Adviser

Even as the Labor Department’s proposed 18-month delay in its full fiduciary duty rule rests at the federal Office of Management and Budget, satisfact...

8/17/2017 | Content areas: Private Fund

Usually the SEC wants its money within 10-14 days. But a private fund adviser will get up to three years to pay off its enforcement tab.   The trouble...

8/17/2017 | Content areas: Broker-Dealer

Thinking about hiring a high-risk broker? You may want to think again. Already the top-listed item in its 2017 annual priorities letter, FINRA continu...

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