Commitment to Compliance
September 17 | Philadelphia

The SEC’s Three Fiduciary Duty-Related Proposals
October 15 | NYC | Information Coming Soon

IA Compliance: The Full 360° View West 
November 8 | San Francisco | Information Coming Soon

For attendance information, please contact Terry Green
1-800-455-5844 ext. 8004
TGreen@blr.com

For exhibitor opportunities, please contact Andrea Trout
301-675-4262
atrout@culeaders.com

UPCOMING WEBINARS

Conquering Current Compliance Challenges
August 15, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: July 11, 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

 
BREAKING NEWS
Latest OCIE risk alert instructs what-not-to-do when it comes to best execution
7/11/2018

OCIE’s second risk alert of the year has hit the street and it includes a litany of actions to avoid if you wish to skip trouble from examiners.   The...

TOP STORIES
IA
7/12/2018
If you’re going to take your marketing advice from a chiropractor, you could expect to feel a pinch.   Three investment advisers and Leonard Schwartz,...
BD
7/12/2018
Aegis Capital’s written supervisory procedures were clear: The firm’s anti-money laundering compliance officer was responsible for filing suspicious a...
IA
PF
7/12/2018
The Advisers Act’s pay-to-play rule clearly states that a violation of the rule prohibits an adviser from receiving compensation from a public pension...
Latest News
7/12/2018 | Content areas: Investment Adviser | Private Fund

The world’s a tiny place when it comes to financial services. Private fund managers are reaching out to new places, attracting new investors. But when...

7/12/2018 | Content areas: Investment Adviser | Broker-Dealer

An SEC regulatory filing indicates that Charles Schwab will pay $2.8 million to settle a recent lawsuit claiming it failed to file suspicious activity...

7/12/2018 | Content areas: Broker-Dealer

FINRA is engaged in an effort to greater understand the extent to which brokerage firms are engaged in activities related to digital assets. The SRO i...

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