IA Compliance: The Full 360° View Midwest
June 25 | Chicago, IL

Commitment to Compliance
September 17 | Philadelphia
Conquering Current Compliance Challenges
July 11, 2018 | 2:00 - 2:30 PM EST

Compliance Best Practices for Busy IA CCOs
July 17, 2018 | 2:00 - 3:00 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 20, 2018 
 
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

Your Complete Guide to the New Form ADV
Includes: 20 Best Practices, 6 Peer-tested Tools and a 60-minute Webinar 

 
BREAKING NEWS
Supreme Court rules SEC ALJ system unconstitutional, SEC stays cases
6/22/2018

By a 7-2 vote, the nation’s highest court June 21 sided with an investment adviser who had challenged the constitutionality of the SEC’s ALJ system. H...

TOP STORIES
IA
6/21/2018
Contrast the fanfare the SEC trumpeted when it announced its mutual fund share class initiative in February with the whimper the agency blurted out wh...
IA
6/21/2018
Few parts of the country spar with hurricanes like southeastern Texas. But last year’s Hurricane Harvey slammed Houston and surrounding areas with a r...
IA
6/21/2018
At this stage, the SEC’s only asking what you think about requiring investment advisers to be licensed or to put up a bond, akin to what broker-dealer...
Latest News
6/22/2018 | Content areas: Investment Adviser

U.S.-based advisers that sell into the EU could be excused if they’re still perplexed by what the General Data Protection Regulation means to them one...

6/21/2018 | Content areas: Investment Adviser

It could not have been an easy e-mail to write for Crawford Lake Capital Management ($679M in AUM). The Lakewood, N.J.-based adviser recently e-mailed...

6/21/2018 | Content areas: Investment Adviser

Family offices can avoid SEC registration provided they stay within the confines of Advisers Act rule 202(a)(11)(G)-1 (family offices). This means the...

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