IA Compliance: The Full 360° View East
March 21-23 | Washington, D.C.
Conference
Conquering Current Compliance Challenges
Feb. 7, 2018 | 2:00 - 2:30 PM EST
Webinar

Last-Minute Guidance to Master the New Form ADV
Jan. 23, 2018 | 2:00 - 3:00 PM EST
Webinar
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
LATEST NEWS & GUIDANCE
1/11/2018 | Content area: Investment Adviser
Our coverage of the new tax law last week purposely left out news that the measure eliminates the ability of taxpayers to take certain miscellaneous d...
1/11/2018 | Content area: Investment Adviser
SEC officials won’t comment but it looks as if one of the 2018 predictions we’ve shared – that the agency’s transition planning/BCP proposal from 2016...
1/11/2018 | Content area: Investment Adviser
Listen to the advocates of socially responsible investing and you’ll hear claims that you can achieve results comparable to broad market indexes witho...
1/11/2018 | Content area: Broker-Dealer
FINRA has released its 2018 regulatory and examination priorities letter. The 10-page letter includes new topics as well as ongoing focus areas. Fraud...
1/11/2018 | Content area: Broker-Dealer
Often lost in the shuffle when FINRA releases its annual regulatory and examination priorities letter is the regulatory component of the guidance. Whi...
1/11/2018 | Content area: Private Fund
A new final rule from the SEC tweaks two Advisers Act rules to bring them into agreement with Congress’s 2015 FAST Act (IA Watch, March 22, 2017).   T...
1/09/2018 | Content area: CPO/CTA
Regulators’ interest in bitcoin and other virtual currencies just took another big step.   The National Futures Association now requires CPOs and CTAs...
1/09/2018 | Content area: Broker-Dealer
Taking a step to ensure its security-based swaps rules don’t hamper the market, the SEC issued a new final rule declaring that a broker’s research rep...
1/04/2018 | Content area: Investment Adviser
Call it the holiday gift that keeps on giving. Late last month the President signed the most sweeping tax reform legislation in 30 years. Many element...
1/04/2018 | Content area: Investment Adviser
A talented gambler knows you don’t tip your hand too early in poker. You first want to have a solid sense that you’re likely to win.   This same strat...
1/04/2018 | Content area: Broker-Dealer
A significantly flawed e-mail review system at Raymond James Financial Services allowed millions of e-mails over a nine-year period to evade “meaningf...
1/04/2018 | Content area: Broker-Dealer
FINRA released Jan. 3 timely FAQs for rules relating to the financial exploitation of seniors that kick in on Feb. 5 (BD Watch, Apr. 7, 2017). The nea...
1/04/2018 | Content area: Investment Adviser
It would be fair to declare John Rogicki as a CCO who went bad. The former compliance officer at Train, Babcock Advisors ($434M in AUM) in New York si...
1/04/2018 | Content area: Private Fund
Fort Worth, Texas-based TPG Capital Advisors ($51B in AUM) had disclosed to its private equity investors that it could receive accelerated monitoring ...
1/04/2018 | Content area: Broker-Dealer
Displaying inaccurate research ratings for over 1,800 equity securities during a nearly five-year period has led to a $5.5 million fine for Citigroup ...
1/04/2018 | Content area: Broker-Dealer
Beware legacy systems acquired in acquisitions. A legacy system from Bear Stearns Securities  employed by J.P. Morgan and replete with design flaws an...
1/04/2018 | Content area: Broker-Dealer
FINRA is proposing a “streamlining” of rules covering outside business activities, responding to long-standing industry concerns, as well as a separat...
1/01/2018 | Content area: Broker-Dealer
Top officials at SIFMA are increasingly confident that the SEC will develop its own fiduciary rule proposal that will not conflict with the Department...
1/01/2018 | Content area: Investment Adviser
Let’s admit that it’s hard to predict what will happen in 2018 after last year’s wild ride. Yet we have heard experts offer that the New Year will bri...
1/01/2018 | Content area: Investment Adviser
There’s nothing like the turning of the calendar to give one thoughts of what to achieve in the New Year.   We asked your peers for their favorite com...
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