Commitment to Compliance
September 18, 2017 | Boston, MA
Conference

Cybersecurity for Financial Services
October 6, 2017 | Washington, DC
Conference

IA Compliance: The Full 360° View West
November 2, 2017 | Los Angeles, CA
Conference
Conquering Current Compliance Challenges
September 27, 2017 | 2:00 PM - 2:30 PM EST
Webinar
 
LATEST NEWS & GUIDANCE
Content Areas: Investment Adviser
8/17/2017 | Content area: Investment Adviser
Even as the Labor Department’s proposed 18-month delay in its full fiduciary duty rule rests at the federal Office of Management and Budget, satisfact...
Content Areas: Investment Adviser
8/17/2017 | Content area: Investment Adviser
If you’re reading this while lying on a beach splashed with sun, please: put it down.   Enjoy your vacation.   Unfortunately, for many compliance offi...
Content Areas: Investment Adviser
8/17/2017 | Content area: Investment Adviser
If you’ve hired David Osunkwo to provide compliance services, you’ll want to search for an alternative – at least for the next year.   That’s because ...
Content Areas: CPO/CTA
8/17/2017 | Content area: CPO/CTA
You’ve had 90 days to get ready for a new rule you’re likely to embrace.   The CFTC’s new recordkeeping rule takes effect Aug. 28, following its relea...
Content Areas: Private Fund
8/17/2017 | Content area: Private Fund
Usually the SEC wants its money within 10-14 days. But a private fund adviser will get up to three years to pay off its enforcement tab.   The trouble...
Content Areas: Broker-Dealer
8/17/2017 | Content area: Broker-Dealer
Thinking about hiring a high-risk broker? You may want to think again. Already the top-listed item in its 2017 annual priorities letter, FINRA continu...
Content Areas: Investment Adviser
8/14/2017 | Content area: Investment Adviser
If the new information update from the SEC’s Division of Investment Management feels like déjà vu, that’s because we reported its essence five weeks a...
Content Areas: Investment Adviser
8/11/2017 | Content area: Investment Adviser
It’s a reflection of how important the SEC considers cybersecurity that OCIE has now released its fourth risk alert on the topic in three years – and ...
Content Areas: CPO/CTA
8/11/2017 | Content area: CPO/CTA
Just five days before the CFTC’s position limits’ exemption rule was to take effect, the agency responded to industry concerns and announced a two-yea...
Content Areas: Investment Adviser
8/10/2017 | Content area: Investment Adviser
Your most talented trader orders a block of bonds but what comes back fails to fill the entire allocation. What do you do?   Many of your peers answer...
Content Areas: Investment Adviser
8/10/2017 | Content area: Investment Adviser
What’s the likely future for the fiduciary duty rule? Will the SEC cooperate with the Labor Department on a uniform standard? These are among the que...
Content Areas: Broker-Dealer
8/10/2017 | Content area: Broker-Dealer
Starting next February, a new FINRA rule will give firms new authority to protect seniors from financial exploitation (BD Watch, April 7, 2017). So wh...
Content Areas: Investment Adviser
8/10/2017 | Content area: Investment Adviser
How you respond and how quickly you respond to a potential or actual data breach or loss is critical. Effectively communicating to your clients, emplo...
Content Areas: Broker-Dealer
8/10/2017 | Content area: Broker-Dealer
The threat of a cyber attack is clear (BD Watch, July 27, 2017). Regulators’ expectations? Not so pristine. Both FINRA and the SEC, for example, have ...
Content Areas: Investment Adviser
8/09/2017 | Content area: Investment Adviser
The Department of Labor Aug. 9 filed a proposal with the federal Office of Management and Budget that seeks to delay its controversial fiduciary duty ...
Content Areas: CPO/CTA
8/04/2017 | Content area: CPO/CTA
The votes were unanimous Aug. 3. The Senate confirmed J. Christopher Giancarlo as CFTC chairman and added Brian Quintenz and Russ Behnam (CPO/CTA Watc...
Content Areas: Investment Adviser
8/03/2017 | Content area: Investment Adviser
Larry Gray was in a hurry. The investment adviser had counseled the Atlanta General Employees Pension Fund board for years. Now, given a change in sta...
Content Areas: Investment Adviser
8/03/2017 | Content area: Investment Adviser
Strong stock market performance in the past year has propelled the aggregate regulatory assets under management of SEC-registered investment advisers ...
Content Areas: Broker-Dealer
8/03/2017 | Content area: Broker-Dealer
We have often recounted the painful downside of inadequate AML systems (BD Watch, March 16, 2017). Here’s a little good news in the form of some ways ...
Content Areas: Investment Adviser
8/03/2017 | Content area: Investment Adviser
A year after OCIE released a risk alert warning it would look at share class allocations, another adviser faces a multi-million dollar penalty for fai...
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