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
4/18/2019 | Content area: Broker-Dealer
FINRA’s recently released 2019 Annual Budget Summary calls out that the SRO’s regulatory responsibilities remain “extensive and complex” and continue ...
4/18/2019 | Content area: Broker-Dealer
The SEC and FINRA have officially opened registration for their 2019 National Compliance Outreach Program for Broker-Dealers. The six-hour event—runni...
4/16/2019 | Content area: Investment Adviser
With cybersecurity as hot as a black hole, it’s no surprise that OCIE wants advisers to take a new look at their cybersecurity P&Ps as well as how the...
4/11/2019 | Content area: Investment Adviser
A glance at a recent OCIE document request letter leaves no doubt of examiners’ interest in advisory fees. This isn’t a state secret given the topic a...
4/11/2019 | Content area: Investment Adviser
Five years after F-Squared imploded over the use of fraudulent marketing data, a second adviser seeks to keep its compliance consultant’s work from th...
4/11/2019 | Content area: Investment Adviser
It’s a list you don’t want to be on.   “We have a database of thousands of deficiency letters in the IA space,” said Dan Kahl, co-deputy director/chie...
4/11/2019 | Content area: CPO/CTA
Luke Adrian, the CEO of the CPO East West Global in Highland Park, Ill., notes that the firm’s settlement of NFA charges is the first enforcement acti...
4/11/2019 | Content area: Investment Adviser
The dual registrant that we featured in a story earlier this year that looked at whether a disciplinary event should be considered a material change t...
4/11/2019 | Content area: Investment Adviser
Plaintiffs continue to pile on Fidelity over claims the custodian charges mutual funds for access to its platform in contravention of ERISA rules. Ano...
4/11/2019 | Content area: CPO/CTA
Last November, the CFTC laid out a series of four priorities that would guide its enforcement program (CPO/CTA Watch, Nov. 21, 2018). Now, it’s readyi...
4/11/2019 | Content area: Broker-Dealer
The brokerage industry certainly sees its fair share of movement of registered reps from one firm to the next and across financial services firms oper...
4/11/2019 | Content area: Investment Adviser
Completing the Commission’s standards of conduct rulemaking remains “a top priority” for SEC Chairman Jay Clayton. In an address April 8 at the annual...
4/04/2019 | Content area: Investment Adviser
With Form ADV update season over for most advisers, take a look at what the 10 largest firms reported as material changes.   1. Vanguard ($4.8T in AUM...
4/04/2019 | Content area: Investment Adviser
Should your firm do business in Germany, know that the regulator there, BaFIN, is fining U.S.-based advisers that fail to file required disclosures on...
4/04/2019 | Content area: CPO/CTA
Late last year, the NFA sought to help CPOs design their compliance programs (CPO/CTA Watch, Dec. 13, 2018). The SRO’s interpretative notice for CPO i...
4/04/2019 | Content area: Investment Adviser
Former IA rep Jeremy Drake will be calling a federal prison home for the next 2½ years in a case that suggests compliance needs to closely examine how...
4/04/2019 | Content area: Private Fund
Match your skill set against the ideal qualities of an effective CCO. Begin with knowing the Advisers Act, being empowered to enforce your firm’s comp...
4/04/2019 | Content area: Investment Adviser
The SEC finds itself in a squeeze given its must abide by a 1946 Supreme Court decision defining a security when justices then couldn’t have even imag...
4/04/2019 | Content area: Investment Adviser
As the long-standing chief operating officer of the SEC-registered M&R Capital Management ($528M in AUM), Richard Diver had his annual compensation pe...
4/04/2019 | Content area: Broker-Dealer
When entering into a new line of business, it’s critically important to update your P&Ps to address any attendant risks associated with the new busine...
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