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HANDBOOKS

The 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: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

IA WATCH WEEKLY BRIEFING ARCHIVE

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February 11, 2019 IA Watch Weekly Briefing

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Two frauds at the same adviser speak to missed oversight chances

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-...

NAC weighs private placement duties, disclosures

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 ...

NFA boots former CPO/CTA after SEC flags the principal for possible violations

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...

Wells Fargo issues report detailing compliance steps taken to clean up its shop

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...

Document if you decide that a disciplinary event isn’t material

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 ...

SEC releases nine revised forms

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...

How many of the seven key attributes of a CCO can you name?

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...