Commitment to Compliance
September 17 | Philadelphia

The SEC’s Three Fiduciary Duty-Related Proposals
October 15 | NYC | Information Coming Soon

IA Compliance: The Full 360° View West 
November 8 | San Francisco | Information Coming Soon

For attendance information, please contact Terry Green
1-800-455-5844 ext. 8004
TGreen@blr.com

For exhibitor opportunities, please contact Andrea Trout
301-675-4262
atrout@culeaders.com

UPCOMING WEBINARS

Conquering Current Compliance Challenges
August 15, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: July 11, 2018 
  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
7/12/2018 | Content area: Investment Adviser
If you’re going to take your marketing advice from a chiropractor, you could expect to feel a pinch.   Three investment advisers and Leonard Schwartz,...
7/12/2018 | Content area: Investment Adviser | Private Fund
The world’s a tiny place when it comes to financial services. Private fund managers are reaching out to new places, attracting new investors. But when...
7/12/2018 | Content area: Broker-Dealer
Aegis Capital’s written supervisory procedures were clear: The firm’s anti-money laundering compliance officer was responsible for filing suspicious a...
7/12/2018 | Content area: Investment Adviser | Broker-Dealer
An SEC regulatory filing indicates that Charles Schwab will pay $2.8 million to settle a recent lawsuit claiming it failed to file suspicious activity...
7/12/2018 | Content area: Investment Adviser | Private Fund
The Advisers Act’s pay-to-play rule clearly states that a violation of the rule prohibits an adviser from receiving compensation from a public pension...
7/12/2018 | Content area: Broker-Dealer
FINRA is engaged in an effort to greater understand the extent to which brokerage firms are engaged in activities related to digital assets. The SRO i...
7/12/2018 | Content area: Broker-Dealer
Last week, FINRA commenced an enhanced disclosure review process for public financial records of those individuals seeking registration with the broke...
7/05/2018 | Content area: Investment Adviser
Those 13 lucky advisers that recently settled SEC enforcement actions for failing to file required Form PFs haven’t yet shaken the agency (PF Watch, J...
7/05/2018 | Content area: Investment Adviser
The same week that the Supreme Court dealt a blow to the SEC’s ALJ system, lawyers filed a challenge over whether the agency has the legal authority t...
7/05/2018 | Content area: Broker-Dealer
Even as one firm challenges the SEC’s right to enforce Bank Safety Act violations (see related story), the Commission has filed a federal lawsuit in S...
7/05/2018 | Content area: Private Fund
It is an oft-repeated refrain at industry conferences and in regulators’ speeches: fees and expenses of private equity fund advisers are a definite fo...
7/05/2018 | Content area: Investment Adviser
The SEC’s revised approach to liquidity risk management gives advisers extra time to describe their programs, which will now only need to be a narrati...
7/05/2018 | Content area: Investment Adviser
Among numerous proposed revisions to the SEC’s whistleblower rules – many of them technical tweaks – is one that clarifies that the agency wouldn’t of...
7/05/2018 | Content area: Investment Adviser
Ten years after the Commission first proposed a rule that would eliminate decades worth of exemptive orders for ETFs, it’s back with a new proposal th...
7/05/2018 | Content area: Investment Adviser
This spring’s release by the SEC of three fiduciary duty-related proposals (IA Watch, April 18, 2018) “encouraged” the agency’s investor advocate beca...
7/05/2018 | Content area: Broker-Dealer
In February, Susan Schroeder, EVP of enforcement at FINRA, outlined a series of broad principles that guide her division to identify and crack down on...
7/03/2018 | Content area: Investment Adviser
In the three months since SEC commissioners voted 3-2 to propose a backtrack on planned mutual fund adviser risk management reporting no minds changed...
6/28/2018 | Content area: Investment Adviser
As a financial planner with 40 years in the business, Ray Lucia believed he was on track for his own comfortable retirement as he hit 60.   “I had it ...
6/28/2018 | Content area: Investment Adviser
The official statement from the SEC following the Supreme Court’s Lucia decision is that the Commission is “reviewing the opinion” and “will determine...
6/28/2018 | Content area: Broker-Dealer
New customer due diligence rules became effective May 11, and by all accounts, the industry is still standing (BD Watch, April 26, 2018). But are you ...
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