Conquering Current Compliance Challenges
April 10, 2019 | 2:00 - 2:30 PM EST

Real-Life Lessons Learned from Peers Who’ve Had to Implement their BCPs
April 16, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: March 13, 2019 
  Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
BREAKING NEWS
Fidelity hit with a second lawsuit over ‘infrastructure’ fee charged to mutual funds
3/21/2019

Three separate 401(k) investors have joined together to file a new federal lawsuit claiming Fidelity violates its fiduciary duty and ERISA by charging...

TOP STORIES
IA
3/21/2019
Back in December, we reported that sources were stating that the SEC was pivoting a bit from its focus on 12b-1 fees and share class allocations (see ...
CPO/CTA
3/21/2019
It’s not everyday an SRO objects to a rule proposal put forth by its regulator but the NFA is unhappy with the CFTC’s recent proposal to reduce burden...
PF
3/21/2019
As the investment adviser to both the seller and buyer of a commercial real estate asset, Tamlico had a clear conflict. When the New York-based firm a...
Latest News
3/21/2019 | Content areas: Investment Adviser

It’s hard to get a handle on how many advisers receive 12b-1 fees for placing clients in certain mutual fund share classes. Look to Form ADV data and ...

3/21/2019 | Content areas: Investment Adviser

It can be difficult to determine when an aging client is slipping into dementia and advisers can feel pressured that unnecessarily raising an alarm co...

3/21/2019 | Content areas: Investment Adviser

Congress is being asked to approve a $1.74 billion budget for the SEC for the 2020 fiscal year beginning in October. This would mark a 2.7% increase o...

3/21/2019 | Content areas: Investment Adviser

You may wish to consider live or videotaped training around the SEC’s pay-to-play rule.   Generation Investment Management ($8.4B in AUM) in San Franc...

3/21/2019 | Content areas: Investment Adviser

After achieving 100% of its planned milestone’s last year, the SEC’s Division of Investment Management is actively moving on a number of priorities co...

Compliance Toolbox

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

Content areas: Investment Adviser

A peer shares the questions OCIE examiners asked in a document request letter to the advisory firm in an exam initiative directed at registered invest...

Content areas: Investment Adviser

A CCO peer shares the table of contents from the advisory firm's compliance manual.

Content areas: Investment Adviser

Form N-2 is to be used by closed-end management investment companies, except small business investment companies licensed as such by the United States...

Content areas: Broker-Dealer

This is the SEC form required to be filed by large traders.

Content areas: Investment Adviser

A peer shares the advisory firm's soft dollars checklist.

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