Conquering Current Compliance Challenges
April 10, 2019 | 2:00 - 2:30 PM EST

Real-Life Lessons Learned from Peers Who’ve Had to Implement their BCPs
April 16, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: March 13, 2019 
  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
2/14/2019 | Content area: Private Fund
It took awhile but the federal agencies united in the Volcker rule finally have published their proposed changes. The Feb. 8th Federal Register reveal...
2/14/2019 | Content area: Investment Adviser
Ajenifuja Investments, we hardly knew ya.   Kevin Ajenifuja hoped to launch an internet advisory firm so, in 2015, he registered the firm with the SEC...
2/14/2019 | Content area: Investment Adviser
For the first time in two years, OCIE’s 2019 exam priorities letter didn’t call out robo-advisers as a key focus (IA Watch, Jan. 2, 2019). But does th...
2/14/2019 | Content area: Broker-Dealer
It goes without saying that you should be scrupulously reviewing and retaining business-related e-mails. But when FINRA staff makes a point of telling...
2/14/2019 | Content area: CPO/CTA
An inflation adjustment has been made to the CFTC’s monetary penalties in a new final rule from the Commission. The 2.6% annual increase raises the lo...
2/14/2019 | Content area: CPO/CTA
Six years after the SEC put out its first exam priorities’ list, the CFTC has followed suit with its inaugural release.   2019 Compliance Branch Exami...
2/13/2019 | Content area: Broker-Dealer
In recent years, OCIE has conducted 75 exams of transfer agents and now the grades are in.   OCIE’s latest risk alert sums up what troubled examiners ...
2/07/2019 | Content area: Investment Adviser
There were so many opportunities to spot early on the 12-year-long fraud perpetrated by John Rogicki, the former CCO and longtime employee at the now-...
2/07/2019 | Content area: Broker-Dealer
FINRA is again questioning the due diligence firms are conducting on private placement offerings (BD Watch, Dec. 20, 2018). But what exactly does the ...
2/07/2019 | Content area: CPO/CTA
Imagine the examiners’ surprise when they showed up at the address of the CPO/CTA Synergistic Group in Frankfort, Ill., which was supposedly run by Pr...
2/07/2019 | Content area: Investment Adviser
In an effort to rebuild trust after a considerably rocky regulatory road, Wells Fargo has released a business standards report that lists lessons lear...
2/07/2019 | Content area: Investment Adviser
Open up Aegis Capital’s ($507M in AUM) latest Form ADV brochure and you’ll read this very intriguing nugget under material changes: The Firm has been ...
2/07/2019 | Content area: Investment Adviser
Be aware that the SEC’s Division of Investment Management has changed nine key forms should your firm have to file any of these. The links below go to...
2/07/2019 | Content area: Investment Adviser
Readers like lists – such as seven attributes of an effective CCO: 1. Regulatory knowledge; 2. Firm knowledge; 3. Industry experience; 4. Analytical i...
1/31/2019 | Content area: Investment Adviser
Undoubtedly, having a process for your annual review relieves you of worry and sets the tone for accomplishing this critical task (IA Watch, Jan. 14, ...
1/31/2019 | Content area: Broker-Dealer
FINRA is taking a page from the SEC’s playbook in announcing Jan. 28 a self-reporting initiative tied to share class recommendations. Under the SRO’s ...
1/31/2019 | Content area: Investment Adviser
Nevada has rolled the dice by proposing its own fiduciary duty rule last month. You have until March to share your comments about the proposal.   The ...
1/31/2019 | Content area: Investment Adviser
Given the SEC has just begun full operations after the record long partial government shutdown, it’s understandable that the agency hasn’t yet respond...
1/31/2019 | Content area: Investment Adviser
The protection of retail investors nationwide—particularly seniors—is a core mission of the SEC. A $1 billion penalty announced Jan. 28 against Woodbr...
1/28/2019 | Content area: Investment Adviser
If your firm was being examined or about to be when the government shutdown in late December, expect that OCIE will be reaching out soon to reschedule...
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