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

Cybersecurity for Financial Services
July 23 | New York City
Conquering Current Compliance Challenges
May 9, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: April 4, 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
A split Commission approves a ‘package’ of fiduciary duty-related proposals
4/18/2018

It may have been decades in the making but it took SEC commissioners only two hours April 18 to submit their proposed stance on fiduciary duty. A trio...

TOP STORIES
IA
4/19/2018
IA Watch has learned that a host of advisers has received letters from the SEC asking them to explain why they haven’t filed Form PF. Negotiations are...
BD
4/19/2018
While the SEC’s proposed Regulation Best Interest runs hundreds of pages, you can score a quicker sense of it from the agency’s two-page summary of it...
PF
4/19/2018
Eric Erb admits he was “tormented with shame and grief,” which drove him last year to direct his lawyer to confess his crime to authorities. This mont...
Latest News
4/19/2018 | Content areas: Investment Adviser

Case law issued over decades defines what fiduciary duty means for investment advisers. But the SEC’s 38-page proposed interpretation would seek to ma...

4/19/2018 | Content areas: Investment Adviser

Call it a customer relationship summary. That’s the new form that the Commission has proposed designed to help retail investors differentiate between ...

4/19/2018 | Content areas: Investment Adviser

Your firm approaches the magic $100 million in AUM mark that permits you to move from being state-registered to registering as an SEC RIA. What must y...

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