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
5/02/2019 | Content area: Investment Adviser
In retrospect, the liens filed against Charles Winstead provided a warning that he deserved extra attention. The former Nationwide Securities’ insuran...
5/02/2019 | Content area: Investment Adviser
While reports have drifted in for months that OCIE was holding up advisers’ registration applications from firms in the EU after the GDPR took effect ...
5/02/2019 | Content area: Broker-Dealer
FINRA is putting its money where its mouth is when it comes to assisting broker-dealers in improving their compliance. Last year, the SRO spent $7.3 m...
5/02/2019 | Content area: CPO/CTA
It’s more than one year away when many hedge funds and other entities that engage in significant swap deals will have to begin to post and collect ini...
5/02/2019 | Content area: Broker-Dealer
When you are the named principal in your firm’s WSPs responsible for reviewing the suitability of your reps’ recommendations, claiming that you rely o...
5/01/2019 | Content area: Investment Adviser
Both sides in The Robare Group v. SEC case could claim a partial victory after the U.S. Court of Appeals in Washington, D.C. April 30 issued its rulin...
4/26/2019 | Content area: Investment Adviser
The Kentucky Court of Appeals ruled April 23 that public pension plan members lack standing to bring their lawsuit against KKR, Blackstone Alternative...
4/25/2019 | Content area: Investment Adviser
Scenario: Say, you’re a compliance officer who serves as the adviser’s in-house counsel and you’ve been tasked with conducting an internal investigati...
4/25/2019 | Content area: Broker-Dealer
In a bid to provide greater flexibility to broker-dealers withdrawing their registration, the SEC has approved amendments to FINRA rule 4570 affording...
4/25/2019 | Content area: Private Fund
Many would say only having four to five hours’ worth of telephone calls and performing a few Google searches doesn’t constitute sufficient due diligen...
4/25/2019 | Content area: Investment Adviser
Wi-Fi can be so convenient – yet so risky.   OCIE’s new risk alert on Reg S-P warns of the use of “unsecure networks,” noting many firms don’t have co...
4/25/2019 | Content area: Investment Adviser
The near record, rising stock market has pushed some advisers over the threshold to where they are required to file Form 13F. The SEC mandates that ce...
4/25/2019 | Content area: Broker-Dealer
The rules for statutory disqualification are straightforward enough. Willfully violate the securities laws or commit a felony and you’re subject to di...
4/25/2019 | Content area: CPO/CTA
It took the CFTC three years after the SEC revised its rules regarding sending annual privacy notices to clients for the Commission to follow suit but...
4/18/2019 | Content area: Investment Adviser
Today’s advisers play in a whole different media landscape than their predecessors.   Take Blackrock Financial Management ($833B in AUM) in New York. ...
4/18/2019 | Content area: CPO/CTA
CPOs examined by NFA staff beginning this month can expect to be asked about what they’ve done to comply with the SRO’s new internal controls notice. ...
4/18/2019 | Content area: Private Fund
If Matthew Rossi’s hedge fund venture were a star it would have streaked across the sky in a moment of awe – before crashing ingloriously.   The 50-ye...
4/18/2019 | Content area: Investment Adviser
The 59-year-old books and records rule may be showing its age but that’s not stopping advisers from plugging into modern means of communications for w...
4/18/2019 | Content area: Investment Adviser
It sure looks like 34-year-old Nikesh Patel won’t be going anywhere anytime soon. The U.S. Court of Appeals for the 7th Circuit in Chicago April 16 af...
4/18/2019 | Content area: Investment Adviser
The SEC’s Director of the Division of Investment Management Dalia Blass has signaled that developments on improvements to the proxy advisory process c...
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