Conquering Current Compliance Challenges
Nov. 14, 2018 | 2:00 - 2:30 PM EST

Ethics: The Compliance Officer’s Role in Encouraging Your Firm
to Do the Right Thing

Oct. 23, 2018 | 2:00 - 3:00 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: October 10, 2018 
 
HANDBOOKS
  Includes: 9 Best Practices, 3 Proposed Disclosure Mockups
and a 60-minute Audio Webinar

The Adviser's Guide to SEC Advertising and Marketing Rules
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
10/11/2018
To Sam Edwards, it takes few words to explain how Dallas-based WFG Advisors perished after 15 years, landing in bankruptcy court where former clients ...
BD
10/11/2018
The phrase better late than never comes to mind now that SEC commissioners have voted 4-1 to reopen the comment period on a 2012 proposal governing ca...
CPO/CTA
10/11/2018
It seems the way many CPOs/CTAs have computed their quarterly financial ratios reported to the NFA hasn’t added up. The NFA has released new guidance ...
Latest News
10/11/2018 | Content areas: Investment Adviser

Two assurances can be pulled from the SEC’s use of administrative law judges four months after the nation’s highest court struck down the system as un...

10/11/2018 | Content areas: Investment Adviser

The SEC believes ETFs have matured to where they deserve their own rules rather than a patchwork of hundreds of instances of staff-issued guidance rel...

10/11/2018 | Content areas: Investment Adviser

SEC Commissioner Hester Peirce is clearly a fan of new approaches to investor-friendly disclosure. But she’s not thrilled with the Commission’s propos...

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