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

Cybersecurity for Financial Services
July 23 | New York City
Conquering Current Compliance Challenges
June 20, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: May 9, 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
Only 17% of compliance pros are ‘very satisfied’ with their programs: report
5/21/2018

A new study finds only 17% of respondents expressed that they were very satisfied “with the effectiveness of their compliance program.” Nearly half (4...

TOP STORIES
IA
5/17/2018
One year after the Supreme Court ruled unanimously that the SEC can go back only five years after filing a legal action to retrieve ill-gotten gains, ...
IA
5/17/2018
After the offices of his private attorney were raided by authorities, President Trump stated that attorney-client privilege is dead in the U.S.   You’...
BD
5/17/2018
The requirements placed on Chardan Capital Markets CCO/AML director were clearly spelled out in the New York-based brokerage firm’s anti-money launder...
Latest News
5/17/2018 | Content areas: Investment Adviser

The question came up recently: Could an adviser tape record SEC examiner interviews with staff?   “I understand why somebody would want to” tape exami...

5/17/2018 | Content areas: Investment Adviser

Thanks to the Financial Action Task Force’s 40 recommendations for how to attack anti-money laundering, you can find great similarities in the approac...

5/17/2018 | Content areas: Broker-Dealer

Who could argue with scaling back supervisory obligations pertaining to outside business activities and private securities transactions? More people t...

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