Conquering Current Compliance Challenges
Sept. 26, 2018 | 2:00 - 2:30 PM EST

Ethics: The Compliance Officer’s Role in Encouraging Your Firm
to Do the Right Thing

Oct. 23, 2018 | 2:00 - 3:00 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: August 15, 2018 
 
HANDBOOKS
  Includes: 9 Best Practices, 3 Proposed Disclosure Mockups
and a 60-minute Audio Webinar

The Adviser's Guide to SEC Advertising and Marketing Rules
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

 
LATEST NEWS & GUIDANCE
9/20/2018 | Content area: Investment Adviser
No one’s surprised to learn that OCIE will check to see if an adviser is charging proper fees. What might astonish is that a lot of clients are enjoyi...
9/20/2018 | Content area: Investment Adviser
If your firm pays a radio station to run an ad, you better tune in.   That’s one lesson from the SEC enforcement action against Creative Planning ($36...
9/20/2018 | Content area: Investment Adviser
It wasn’t the first time that an SEC chairman has reminded the world that only commissioners can make rules, not SEC staffers, but Jay Clayton’s state...
9/20/2018 | Content area: Broker-Dealer
We’ve written before about the old wire transfer scheme: an imposter hacks into a customer’s e-mail account to make unauthorized third-party withdrawa...
9/20/2018 | Content area: CPO/CTA
Be on the lookout for signs of a trader who immediately cancels futures orders just after placing them.   That behavior is highlighted in a new CFTC e...
9/20/2018 | Content area: Investment Adviser
The SEC needs to go back to the drawing board and revise and retest the content, language, and format of its proposed Customer Relationship Summary fo...
9/20/2018 | Content area: Broker-Dealer
With the Oct. 1 compliance date for FINRA rules tied to qualification and registration requirements fast approaching, the SRO has released nearly 30 f...
9/20/2018 | Content area: Broker-Dealer
Just when you thought FINRA could not possibly extract more large fines in connection with the Order Audit Trail System more damage is being reported ...
9/13/2018 | Content area: Investment Adviser
If you manage a mutual fund, get ready. IA Watch has learned that OCIE has launched an initiative probing advisers of registered funds – and asking lo...
9/13/2018 | Content area: Investment Adviser
Some two weeks after a new group urged the Commission to tamp down on the administrative state (IA Watch, Aug. 30, 2018), SEC Chairman Jay Clayton has...
9/13/2018 | Content area: Broker-Dealer
It seems like an idea that only plaintiffs’ lawyers could love: forcing firms to divulge the amount of insurance they carry when they are sued by a cu...
9/13/2018 | Content area: Private Fund
Jeffrey Stevenson has run his own private equity firm, VSS Fund Management ($766M in AUM), from New York since 1982. The SEC says he put his interests...
9/13/2018 | Content area: Investment Adviser
We’ve told you before about Stephanie Drescher’s $1,000 contribution to the presidential campaign of Ohio Governor John Kasich (IA Watch, March 29, 20...
9/13/2018 | Content area: Investment Adviser
The fundamental benefit of placing your mutual fund on a multi-series trust platform is that you’re handing over the responsibility for operations to ...
9/13/2018 | Content area: Broker-Dealer
Suspect that one of your reps may be engaged in excessive trading? Better investigate or put some meaningful restraints in place. Otherwise, you risk ...
9/13/2018 | Content area: Private Fund
A La Jolla, Calif.-based hedge fund manager touted a fund it offered as the “first regulated crypto asset fund in the United States.” Turns out that w...
9/13/2018 | Content area: Broker-Dealer
An investigative report issued by the SEC in July 2017 was clear in its message: offers and sales of digital assets by “virtual” organizations are sub...
9/13/2018 | Content area: Broker-Dealer
The SEC regularly touts its ever increasing, enhanced ability to analyze big data. That prowess with utilizing data analysis to detect suspicious trad...
9/06/2018 | Content area: Investment Adviser
Thanks to a roaring stock market, SEC-registered investment advisers collectively manage more than $82 trillion in assets – a 16% gain over the previo...
9/06/2018 | Content area: Investment Adviser
The Investment Advisers Act calls for you to be informed when your firm’s code of ethics is violated. What you do from there can be a challenge.   Con...
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