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
10/11/2018 | Content area: Investment Adviser
The SEC believes ETFs have matured to where they deserve their own rules rather than a patchwork of hundreds of instances of staff-issued guidance rel...
10/11/2018 | Content area: Investment Adviser
SEC Commissioner Hester Peirce is clearly a fan of new approaches to investor-friendly disclosure. But she’s not thrilled with the Commission’s propos...
10/11/2018 | Content area: Broker-Dealer
FINRA has determined to address arbitration forum users’ concern that non-parties wanting to object to an order or subpoena have insufficient time to ...
10/11/2018 | Content area: Investment Adviser
The SEC has made no secret of its intent to focus on “Main Street investors.” The agency’s new Strategic Plan for 2018-2022 is the latest place where ...
10/11/2018 | Content area: CPO/CTA
Declare it a smooch from the CFTC. The five commissioners voted unanimously to issue a new proposed rule that falls under the Commission’s Project KIS...
10/04/2018 | Content area: Broker-Dealer
Cadaret Grant & Co. has 930 registered reps and investment advisers located in 500 branch offices across 27 states. But the salient number for FINRA i...
10/04/2018 | Content area: Broker-Dealer
FINRA is finally wising up to the potential of new technologies that assist firms in meeting their compliance obligations. Unfortunately, it is also l...
10/04/2018 | Content area: Investment Adviser
The SEC’s Division of Investment Management is revisiting the prohibition on the use of testimonials as part of its broader effort to consider recomme...
10/04/2018 | Content area: Investment Adviser
One of the top methods firms use to help ensure they’re exam-ready is to hire a vendor to conduct a mock exam (IA Watch, Aug. 21, 2014).   “We do that...
9/27/2018 | Content area: Investment Adviser
The SEC has settled with Voya Financial Advisors ($14.4B in AUM), citing the dual registrant’s poor cybersecurity controls in a case replete with less...
9/27/2018 | Content area: Investment Adviser
When the worst of Hurricane Florence was lashing Wilmington, N.C., Vinton Fountain huddled with his family in the safest part of their house, terroriz...
9/27/2018 | Content area: Broker-Dealer
It was billed as the first disciplinary action by FINRA involving cryptocurrencies. But at essence, the case against Timothy Tilton Ayre boils down to...
9/27/2018 | Content area: Investment Adviser
Pour your trade blotter into Excel and you can knock out a series of quick compliance tests. You could examine for brokerage allocations, eye personal...
9/27/2018 | Content area: Private Fund
Hudson Housing Capital ($3.2B in AUM) in New York had a problem meeting deadlines, and the SEC took notice.   The adviser failed to deliver audited fi...
9/27/2018 | Content area: Investment Adviser
The end of September represents the end of the SEC’s 2018 fiscal year and the inevitable analysis of its Enforcement Division’s statistics. But the di...
9/27/2018 | Content area: Broker-Dealer
It’s always best when the left hand knows what the right hand is doing. That doesn’t appear to have been the case with TD Ameritrade’s Institutional R...
9/26/2018 | Content area: Investment Adviser
Even the commenters on the SEC’s proposed whistleblower rule revisions seek anonymity (IA Watch, July 5, 2018). Forty percent of the 102 comments the ...
9/25/2018 | Content area: Investment Adviser
According to its newly-published IRS-990 form, the Investment Adviser Association’s revenues in 2017 grew 6.4% over the previous year. At the same tim...
9/20/2018 | Content area: Investment Adviser
No one’s surprised to learn that OCIE will check to see if an adviser is charging proper fees. What might astonish is that a lot of clients are enjoyi...
9/20/2018 | Content area: Investment Adviser
If your firm pays a radio station to run an ad, you better tune in.   That’s one lesson from the SEC enforcement action against Creative Planning ($36...
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