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

UPCOMING WEBINARS

Conquering Current Compliance Challenges
Feb. 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: January 16, 2019 
  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
1/17/2019
IA Watch has obtained a copy of an Excel file demonstrating the trade blotter format OCIE would like firms to submit during an SEC exam.   The new for...
IA
1/17/2019
The unidentified public company uploaded a “test filing” that revealed its second quarter earnings to the SEC’s EDGAR system at 3:32 p.m. on a Thursda...
IA
1/14/2019
Managing Director Rob Tull of Progressive Compliance Advisors shares his process for conducting an annual review. Tull has honed his process over the...
Latest News
1/17/2019 | Content areas: Investment Adviser

There’s RAUM and AUM and now, at the risk of drowning in acronym soup, AUA. They all add up to ways to measure the size of your advisory business.   S...

1/17/2019 | Content areas: Investment Adviser

There have been rumblings for years about concerns regulators may have when a client’s brokerage account gets switched to an advisory account that cha...

1/17/2019 | Content areas: Investment Adviser

When four reps left Summit Equities ($3B in AUM) in Parsippany, N.J., they took client personally identifiable information with them – and the adviser...

1/17/2019 | Content areas: Investment Adviser

The author of a book that claims SEC charges against him were “unfounded and unfair” remains a mystery and it’s uncertain whether you’ll ever get to r...

1/17/2019 | Content areas: Broker-Dealer

How serious are authorities about anti-money laundering compliance?   Serious enough to file the first-ever criminal charge against a broker-dealer fo...

Compliance Toolbox

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

Content areas: Investment Adviser

Click here to open an Excel file that is described as OCIE's latest request for how examined firms should construct their trade blotters. This comes c...

Content areas: Investment Adviser

This primer is written by Lauri London. She is in private law practice with the firm of Cohen & Buckmann PC where she advises clients on investment ad...

Content areas: Investment Adviser

This is a code of the board's revised code that takes effect in October 2019.

Content areas: Investment Adviser

This is the list of FAQs released by the SEC's Division of Investment Management in November 2018.

Content areas: Investment Adviser

SIFMA has produced an example of a form you can give clients to obtain a trusted contact to reach out to in case the need arises. Find more from SIFM...

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