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
11/21/2018 | Content area: Broker-Dealer
You can pick out two lessons in the story of a billing problem that affected more than 150,000 wealth management accounts at J.P. Morgan Securities.  ...
11/21/2018 | Content area: Investment Adviser
Financial services firms struggle when it comes to governing their employees’ use of mobile devices for business communications, according to a newly ...
11/21/2018 | Content area: Investment Adviser
The SEC has yet again offered up its current thinking on digital securities. On the same day that the Commission settled charges against two more comp...
11/15/2018 | Content area: Investment Adviser
The life of Pennant Management, a Wisconsin advisory firm, would run 20 years. It may have continued if only its leader listened to its CCO, who warne...
11/15/2018 | Content area: Investment Adviser
Legal briefs have been filed with the U.S. Court of Appeals in Washington in The Robare Group v. SEC, the latest installment in a four-year legal batt...
11/15/2018 | Content area: Broker-Dealer
Memo to FINRA as it contemplates ways to monitor and adapt its rules and regulations to the exploding number of FinTech innovations: Tread lightly, pl...
11/15/2018 | Content area: Investment Adviser
Next month, larger mutual funds will begin filing liquidity data on SEC Form N-CEN. Ahead of that deadline, the SEC’s Division of Investment Managemen...
11/15/2018 | Content area: Investment Adviser
The SEC has upped its game with respect to investment adviser examinations given the ever-increasing number of registered IAs and one of its commissio...
11/15/2018 | Content area: Investment Adviser
The financial services industry has been clamoring for changes to the SEC’s proposed customer relationship summary form since it was proposed last Apr...
11/15/2018 | Content area: Investment Adviser
A day-long meeting Nov. 15 before SEC commissioners recounted a litany of problems around proxy voting and sprinkled potential solutions that may ulti...
11/13/2018 | Content area: Investment Adviser
As OCIE demonstrated recently with its cash-solicitation risk alert (IA Watch, Oct. 31, 2018), advisers often fail to show they’ve done due diligence ...
11/12/2018 | Content area: Investment Adviser
If you’re an adviser to a mutual fund, then OCIE’s 4th risk alert of 2018 is for you.   The four-page alert, released Nov. 8, lays out what topics exa...
11/09/2018 | Content area: Investment Adviser
When does a fiduciary become a fiduciary? That question is at the essence of a lawsuit in Kentucky that could be thrown out before it gets anywhere or...
11/09/2018 | Content area: Investment Adviser
If you’re an adviser to a mutual fund that wishes to begin using swing pricing when the SEC’s rules take effect Nov. 19, remember you must have releva...
11/09/2018 | Content area: Investment Adviser
How much would you pay to gain new clients? Some advisers are paying solicitors a handsome chunk of change.   “Solicitors will receive ongoing compens...
11/09/2018 | Content area: Broker-Dealer
It’s a common complaint, often dismissed by regulators: small firm managers are disciplined relatively more severely than their counterparts at larger...
11/06/2018 | Content area: Broker-Dealer
Order routing and execution practices have morphed in a big way over the past 18 years as technology and innovation have yielded securities markets th...
11/06/2018 | Content area: CPO/CTA
With less than two months before CFTC rules would have lowered the threshold of gross notional swaps – causing more entities to have to register as sw...
11/06/2018 | Content area: Investment Adviser
The number of enforcement actions against investment advisers and investment companies in FY 2018 jumped 32% – from 82 to 108, according to the SEC Di...
11/01/2018 | Content area: Investment Adviser | Private Fund
Within days of an SEC action against Yorkville Advisors in 2012, the defendants filed a furious response, calling the claim of fraud “baseless,” “an e...
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