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
11/01/2018 | Content area: CPO/CTA
September 2020 may seem way off but the CFTC’s chief economist warns regulators must prepare for that date when Phase 5 of the agency’s swaps margin r...
11/01/2018 | Content area: Investment Adviser
Concerns about the current volume, format and content of variable contract disclosures have led the SEC to propose a new “layered” disclosure approach...
11/01/2018 | Content area: Investment Adviser
Anyone with internet access has gotten them – advertisements via e-mail.   Most modern business enterprises turn to e-mail to advertise, including adv...
11/01/2018 | Content area: Investment Adviser
Just as you can’t yell “fire” in a crowded, smoke-free theatre, you apparently can’t pester the SEC with your concerns about market oversight.   The N...
11/01/2018 | Content area: Broker-Dealer | CPO/CTA
In an effort to “minimize potential market disruptions” upsetting firms that deal with swaps and have the good fortunate to report to two regulators, ...
11/01/2018 | Content area: Broker-Dealer
How FINRA calculates fines has always been something of a mystery – and a source of industry frustration. Now, the SRO seems to be making good on a pr...
11/01/2018 | Content area: Broker-Dealer
A too narrow interpretation about requirements surrounding the disclosure of customer complaints resulted in LPL Financial failing to file or amend re...
10/31/2018 | Content area: Investment Adviser
It’s difficult to confuse the plain dictates of the cash solicitation rule, Advisers Act rule 206(4)-3, yet it seems some advisers have done just that...
10/25/2018 | Content area: Investment Adviser
To preserve or to destroy. That is the question when it comes to adviser business records.   Of course, Advisers Act rule 204-2 (books and records) su...
10/25/2018 | Content area: Investment Adviser
Consider custody the gift that keeps on giving. The latest twist of the screw comes from Pennsylvania, where state securities officials last month rel...
10/25/2018 | Content area: CPO/CTA
Both the SEC and the CFTC have staked regulator claims in the burgeoning virtual currency space. Hand the CFTC a victory in a recent court ruling but ...
10/25/2018 | Content area: Private Fund
Hedge fund advisers wouldn’t necessarily expect to find disclosure lessons in an SEC enforcement case that touches on the 1983 Beirut bombing that kil...
10/25/2018 | Content area: Private Fund
When Michael Rothenberg discovered the SEC was investigating his Rothenberg Ventures advisory firm, he e-mailed investors to disclose that he had used...
10/25/2018 | Content area: Broker-Dealer
Having recently revamped its enforcement efforts, FINRA is now taking aim at its disjointed examination program. Details have been hard to come by sin...
10/25/2018 | Content area: Broker-Dealer
A cryptocurrency trading suspension and an emergency halting of a planned initial coin offering have both been initiated by the SEC this month. The ma...
10/18/2018 | Content area: Investment Adviser
Agreement over a uniform fiduciary duty standard is as rare as snow in October but one consensus seems to be that the industry has adopted new steps t...
10/18/2018 | Content area: Investment Adviser
Query Webster’s and you find a “fiduciary” defined as “one who acts ... in a fiduciary capacity.”   The adjective offers more help: “involving a confi...
10/18/2018 | Content area: Investment Adviser
We’ve told you before of James Winkelmann and his St. Louis-based advisory firm, Blue Ocean Portfolios (IA Watch, March 23, 2017). He had the misfortu...
10/18/2018 | Content area: Investment Adviser
A new “no-action” letter from the SEC’s Division of Investment Management permits mutual fund boards to hand off to their CCOs the job of confirming e...
10/18/2018 | Content area: Investment Adviser
A new report by the SEC details public companies targeted by cyber scammers, serving as a wake-up call for the industry. Of the nine companies eyed by...
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