IA Compliance: The Full 360° View East 
March 7-8, 2019 | Washington, D.C.

UPCOMING WEBINARS

Conquering Current Compliance Challenges
Feb. 13, 2019 | 2:00 - 2:30 PM EST

Strategies to Make this Year’s Form ADV Update a Breeze
Feb. 19, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: January 16, 2019 
  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
1/02/2019 | Content area: Investment Adviser
New rules from the SEC regarding advertising and fiduciary duty. A rougher economy and more stock market turbulence. Political upheaval. Tougher OCIE ...
1/02/2019 | Content area: Investment Adviser
The New Year opens like a new book, awaiting only for you to write your story. Gain some ideas for tasks to tackle in 2019 by seeing what your complia...
1/02/2019 | Content area: Investment Adviser
We’ve shared predictions for the regulatory year ahead (see related story). Now check out the regulatory calendar for 2019. These items becom...
1/02/2019 | Content area: Private Fund
An old car product advertisement used to sell its product by stating “pay me now, or pay me later.”   This adage could apply to Lightyear Capital ($2....
1/02/2019 | Content area: Broker-Dealer
Gauging the talents of newly qualified reps is never easy. Now, FINRA has taken a step that may make the exercise even more daunting.   The SRO has qu...
1/02/2019 | Content area: Investment Adviser
If your firm is in the middle of – or scheduled to begin – an OCIE exam, the partial federal government shutdown that began Dec. 22 provides you with ...
12/20/2018 | Content area: Investment Adviser
A new legal settlement – fining Barclays Bank $15 million – recounts the extraordinary steps the firm’s CEO took to try to unmask two whistleblowers. ...
12/20/2018 | Content area: Broker-Dealer
Failures in the anti-money laundering programs of UBS Financial and UBS Securities have resulted in triple jeopardy for the firms and a total of $15 m...
12/20/2018 | Content area: Investment Adviser | Private Fund
There may be 12 days of Christmas but you can count six regulations – four final rules and two proposals – newly gifted from SEC commissioners. Only o...
12/20/2018 | Content area: Investment Adviser
The Mayfield Heights, Ohio-based advisory firm Ancora Advisors ($4.6B in AUM) knew it had violated the SEC’s pay-to-play rule, which meant a “two-year...
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...
© 2019 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US