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
9/06/2018 | Content area: Investment Adviser
An industry bar imposed by the SEC on Walter Grenda back in 2015 apparently did little to deter the long time investment adviser. In a complaint filed...
9/06/2018 | Content area: Investment Adviser
The SEC, along with four other federal financial regulatory agencies, has determined to extend by 30 days the comment period for a proposed rule to si...
9/06/2018 | Content area: Investment Adviser
The Senate has confirmed President Trump’s choice to be the fifth SEC commissioner. Elad Roisman, once sworn in, would replace Republican Commissioner...
8/30/2018 | Content area: CPO/CTA
It’s the IT equivalent of leaving your front door open to the world.   The CFTC has fined the futures commission merchant AMP Global Clearing in Chica...
8/30/2018 | Content area: Investment Adviser
A spate of enforcement actions lately has highlighted the compliance risks around securities lending, with the $1.6 billion fine against Deutsche Bank...
8/30/2018 | Content area: Investment Adviser
Those who decry the SEC for so-called regulation through enforcement may have found a new ally.   The newly-formed group New Civil Liberties Alliance ...
8/30/2018 | Content area: Investment Adviser
Once again, evidence emerges of the heavy cost of not listening to concerns raised by compliance staff.   When a compliance official at Aegon USA Inve...
8/30/2018 | Content area: Broker-Dealer
Mismarking can be costly. Citigroup Global Markets has paid a $5.75 million fine for failing to supervise a group of traders who mismarked the value o...
8/30/2018 | Content area: Investment Adviser | Broker-Dealer
After a six-city tour of investor roundtables concerning the SEC’s standards of conduct for investment professionals rulemaking it’s clear to Commissi...
8/30/2018 | Content area: Broker-Dealer
The consolidated audit trail project continues to be plagued by missed deadlines. But a new status report from the Director of the SEC’s Division of T...
8/30/2018 | Content area: CPO/CTA
Imagine informing your regulator about the need for more compliance resources. In effect, that’s one of the elements the CFTC will require in the annu...
8/30/2018 | Content area: Investment Adviser
The other shoe has now dropped in connection with Legg Mason’s involvement in a scheme dating back to 2004 to bribe Libyan government officials to sec...
8/30/2018 | Content area: CPO/CTA
With Senate confirmation Aug. 28 of two CFTC commissioner nominees, Dawn Stump and Dan Berkovitz need only to be sworn in to assume their new position...
8/23/2018 | Content area: Investment Adviser
BKS Advisors had a compliance manual that included a “Block Order Allocation” policy aimed at preventing unfair trade allocations.  But that policy di...
8/23/2018 | Content area: Broker-Dealer
With the near $4 trillion municipal securities market ever increasing, the SEC has moved to further enhance transparency and timely access to importan...
8/23/2018 | Content area: Investment Adviser
Cross trading practices inconsistent with its compliance P&Ps, regulatory compliance manual and Forms ADV have yielded SEC charges against a New York-...
8/23/2018 | Content area: Investment Adviser
The expectation from brochures provided to clients and Forms ADV filed with the SEC was that Merrill Lynch would use “disclosed investment quality sta...
8/23/2018 | Content area: Broker-Dealer
The “red flags” at Interactive Brokers were waving for over three years.  Internal audit findings, along with “multiple” internal warnings from its cl...
8/23/2018 | Content area: Investment Adviser
Whatever your commute looks like, consider what Vince Cuticello faces. He’s the CCO for one advisory firm in New York and another in Southern Californ...
8/23/2018 | Content area: Broker-Dealer
Don’t say you weren’t warned.   In early May, announcing a settlement with Fifth Third Securities over the marketing of variable annuities, a top FINR...
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