Conquering Current Compliance Challenges
Nov. 14, 2018 | 2:00 - 2:30 PM EST

Ethics: The Compliance Officer’s Role in Encouraging Your Firm
to Do the Right Thing

Oct. 23, 2018 | 2:00 - 3:00 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: October 10, 2018 
 
HANDBOOKS
  Includes: 9 Best Practices, 3 Proposed Disclosure Mockups
and a 60-minute Audio Webinar

The Adviser's Guide to SEC Advertising and Marketing Rules
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

 
10/11/2018
The phrase better late than never comes to mind now that SEC commissioners have voted 4-1 to reopen the comment period on a 2012 proposal governing ca...
10/11/2018
FINRA has determined to address arbitration forum users’ concern that non-parties wanting to object to an order or subpoena have insufficient time to ...
10/04/2018
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...
© 2018 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US