Conquering Current Compliance Challenges
June 12, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: May 15, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
LATEST NEWS & GUIDANCE
12/20/2018 | Content area: CPO/CTA
Haena Park showed so much promise. She couldn’t speak English when she moved to the U.S. at age 13 and yet graduated as valedictorian at her high scho...
12/20/2018 | Content area: Investment Adviser | Private Fund
As time ticks down to the UK’s break from the EU next March 29, great uncertainty surrounds the issue of Brexit. But if your firm is based in the U.S....
12/20/2018 | Content area: Broker-Dealer
For the second year running, FINRA has flagged issues its examiners are finding with broker-dealers’ anti-money laundering programs. The SRO’s 2018 Re...
12/20/2018 | Content area: CPO/CTA
The comment period closed last week for the CFTC’s October proposal directed at CPO/CTA registration (CPO/CTA Watch, Oct. 11, 2018). Some 30 comments ...
12/20/2018 | Content area: Investment Adviser
With the SEC mired in figuring out whether to clarify fiduciary duty standards, the agency may wish to consider one hiding in plain sight. The CFP Boa...
12/20/2018 | Content area: Broker-Dealer
FINRA has again delivered an early holiday present for the brokerage industry in the form of the SRO’s 2018 Report on Examination Findings. The second...
12/14/2018 | Content area: Investment Adviser
In recognition that the way the world communicates has changed, OCIE has released its 5th risk alert of the year. It features observations examiners c...
12/13/2018 | Content area: Investment Adviser
In a not-totally-unexpected move, the SEC is targeting advisers that may have placed clients in higher fee mutual fund share classes yet elected not t...
12/13/2018 | Content area: Investment Adviser
Next year promises to be a monumental one for investment advisers and broker-dealers. The SEC has released its regulatory calendar and it states the C...
12/13/2018 | Content area: Broker-Dealer
Thinking about hiring a FINRA employee? You might want to think again.   The SRO is tightening conflict of interest rules for ex-officers and other fo...
12/13/2018 | Content area: CPO/CTA
If your CPO firm is dually-registered with the CFTC and the SEC, the new “guidance” from the National Futures Association will seem like old hat.   In...
12/13/2018 | Content area: Investment Adviser
They put a lot of thought into their dastardly plan – and these cyber criminals knew they had to act quickly.   IA Watch agreed not to identify the CC...
12/13/2018 | Content area: Investment Adviser
OCIE has made no secret of its interest in undisclosed compensation and failures to seek best execution. So the $598,000 in fines assessed against Lan...
12/13/2018 | Content area: Investment Adviser
The Golden State takes pleasure in being the first in the nation at things and this record continues after the state has passed the country’s first la...
12/13/2018 | Content area: CPO/CTA
The Senate is being asked to confirm Heath Tarbert to be the next CFTC chairman after current Chairman J. Christopher Giancarlo’s term expires next ye...
12/13/2018 | Content area: CPO/CTA
In an effort “to understand similarities and distinctions between certain virtual currencies, including here Ether and Bitcoin,” the CFTC has issued a...
12/06/2018 | Content area: Investment Adviser
Deborah Lamb sat parked in her car, waiting her turn in line at a drive-through coffee kiosk when it struck. “I thought my car was going to explode,” ...
12/06/2018 | Content area: Investment Adviser
If a legal action were a prize fight, the advisers would have lost in a knockout. A Kentucky judge has dismissed all claims by a group of major advise...
12/06/2018 | Content area: Investment Adviser
The view of one CCO about the effectiveness of e-mail reviews isn’t an outlier.   “My personal opinion is that routine e-mail reviews are not worth do...
12/06/2018 | Content area: CPO/CTA
Better late than never. Three years after the SEC amended its privacy rules eliminating the requirement to send customers an annual notice if nothing ...
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