IA Compliance: The Full 360° View Midwest
June 25 | Chicago, IL

Cybersecurity for Financial Services
July 23 | New York City
Conquering Current Compliance Challenges
June 20, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: May 9, 2018 
 
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

Your Complete Guide to the New Form ADV
Includes: 20 Best Practices, 6 Peer-tested Tools and a 60-minute Webinar 

 
LATEST NEWS & GUIDANCE
5/17/2018 | Content area: Investment Adviser
One year after the Supreme Court ruled unanimously that the SEC can go back only five years after filing a legal action to retrieve ill-gotten gains, ...
5/17/2018 | Content area: Investment Adviser
The question came up recently: Could an adviser tape record SEC examiner interviews with staff?   “I understand why somebody would want to” tape exami...
5/17/2018 | Content area: Investment Adviser
After the offices of his private attorney were raided by authorities, President Trump stated that attorney-client privilege is dead in the U.S.   You’...
5/17/2018 | Content area: Investment Adviser
Thanks to the Financial Action Task Force’s 40 recommendations for how to attack anti-money laundering, you can find great similarities in the approac...
5/17/2018 | Content area: Broker-Dealer
The requirements placed on Chardan Capital Markets CCO/AML director were clearly spelled out in the New York-based brokerage firm’s anti-money launder...
5/17/2018 | Content area: Broker-Dealer
Who could argue with scaling back supervisory obligations pertaining to outside business activities and private securities transactions? More people t...
5/17/2018 | Content area: Investment Adviser
A “balanced approach” to initial coin offerings is being pursued by the SEC’s Division of Enforcement and across the Commission, reported Steven Peiki...
5/10/2018 | Content area: Investment Adviser
May 9's Federal Register contains the three SEC proposals tied to fiduciary duty. Each of them carries the same deadline for your comments: Tuesday, A...
5/10/2018 | Content area: Investment Adviser
The same day a federal court decision vacating the Labor Department’s fiduciary duty rule was due to take effect, the DOL released a statement continu...
5/10/2018 | Content area: Broker-Dealer
It took only one day after the U.S. Court of Appeals for the 2nd Circuit in New York ruled May 2 in favor of Jesse Litvak for authorities to release t...
5/10/2018 | Content area: Investment Adviser
You need look no farther than OCIE’s latest risk alert to recognize that what and how you charge your clients remains high on your regulator’s list (I...
5/10/2018 | Content area: Private Fund
The fallout continues from a now nearly two years’ old insider trading case involving two portfolio managers at a New York-based hedge fund adviser (P...
5/10/2018 | Content area: Investment Adviser
Mergers are common among investment advisers and the SEC’s Division of Investment Management has just made clear that an adviser that combines with a ...
5/10/2018 | Content area: Broker-Dealer
FINRA has said that compliance with market access rules has become an issue in a growing number of exams (BD Watch, Dec. 14, 2017). The evidence is gr...
5/10/2018 | Content area: Private Fund
Only a few years ago, Premium Point Investment ($84M in AUM), a New York hedge fund adviser, managed $2.5 billion in assets. Now it’s shutting down.  ...
5/10/2018 | Content area: Investment Adviser
The number of state-registered investment advisers and SEC notice-filed IAs have increased in 2017-2018, according to the first-ever annual report sna...
5/10/2018 | Content area: Broker-Dealer
Variable annuity exchanges continue to bedevil Fifth Third Securities. The Cincinnati-based brokerage firm has been hit with its second significant FI...
5/03/2018 | Content area: Investment Adviser
Only a small percentage of CCOs are compensated or employed by a firm different from the RIA they work at, according to new Form ADV data obtained by ...
5/03/2018 | Content area: Investment Adviser
While The Robare Group’s enforcement case remains unresolved, the SEC isn’t giving up on the contention that the use of the word ‘may’ in describing t...
5/03/2018 | Content area: Broker-Dealer
Testifying as part of a FINRA proceeding does not equate to providing information to the SEC, a federal judge held, declining to expand protections fo...
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