IA Compliance: The Full 360° View East
March 7-8, 2019 | Washington, D.C.
IA Compliance: The Full 360° View Southwest
June 7, 2019 | Dallas, TX
UPCOMING WEBINARS
March 7-8, 2019 | Washington, D.C.
IA Compliance: The Full 360° View Southwest
June 7, 2019 | Dallas, TX
UPCOMING WEBINARS
Conquering Current Compliance Challenges
Mar. 13, 2019 | 2:00 - 2:30 PM EST
Strategies to Make this Year’s Form ADV Update a Breeze
Feb. 19, 2019 | 2:00 - 2:30 PM EST
RECORDED WEBINARS
Conquering Current Compliance Challenges
Recorded: February 13, 2019
HANDBOOKS
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action LettersThe SEC Examinations Priorities Handbook (2019 Edition)
Includes: Best Practices, Document Request Letters and OCIE Risk Alerts
The Adviser's Guide to SEC Advertising and Marketing Rules
Includes: Best Practices, Document Request Letters and OCIE Risk Alerts
The Adviser's Guide to SEC Advertising and Marketing Rules
Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance
February 11, 2019 IA Watch Weekly Briefing
2/07/2019 | Content area:
Investment Adviser
There were so many opportunities to spot early on the 12-year-long fraud perpetrated by John Rogicki, the former CCO and longtime employee at the now-...
2/07/2019 | Content area:
Broker-Dealer
FINRA is again questioning the due diligence firms are conducting on private placement offerings (BD Watch, Dec. 20, 2018). But what exactly does the ...
2/07/2019 | Content area:
CPO/CTA
Imagine the examiners’ surprise when they showed up at the address of the CPO/CTA Synergistic Group in Frankfort, Ill., which was supposedly run by Pr...
2/07/2019 | Content area:
Investment Adviser
In an effort to rebuild trust after a considerably rocky regulatory road, Wells Fargo has released a business standards report that lists lessons lear...
2/07/2019 | Content area:
Investment Adviser
Open up Aegis Capital’s ($507M in AUM) latest Form ADV brochure and you’ll read this very intriguing nugget under material changes: The Firm has been ...
2/07/2019 | Content area:
Investment Adviser
Be aware that the SEC’s Division of Investment Management has changed nine key forms should your firm have to file any of these. The links below go to...
2/07/2019 | Content area:
Investment Adviser
Readers like lists – such as seven attributes of an effective CCO: 1. Regulatory knowledge; 2. Firm knowledge; 3. Industry experience; 4. Analytical i...
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