Commitment to Compliance
September 17 | Philadelphia
Conquering Current Compliance Challenges
Sept. 26, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: August 15, 2018 
  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
8/16/2018
Jeffrey Davis, an Ameriprise rep based in Virginia, notified the dual registrant of the name of his outside business. Later, when Davis fraudulently s...
BD
8/16/2018
The number of FINRA-registered brokerage firms and the registered reps working for them have continued their steady decline. The sobering statistics c...
CPO/CTA
8/13/2018
Halloween this year brings tricks and treats – and the start of the NFA’s rule on virtual currency disclosures. October 31 is the start date for its n...
Latest News
8/16/2018 | Content areas: Investment Adviser

May you never have to answer this question: Must we disclose a disciplinary event in our Form ADV brochure and distribute the document to our clients?...

8/16/2018 | Content areas: Investment Adviser

As SEC commissioners consider what to do next about their fiduciary duty proposals, supporters for a best interest standard may have a new poster boy....

8/16/2018 | Content areas: Investment Adviser

A new settlement with an adviser first caught up in an OCIE sweep exam launched four years ago looking at wrap fee programs attests to the need for sp...

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