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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

INVESTMENT ADVISER NEWS & GUIDANCE

Faulty software, bumbling compliance, five bad reps and a $4.5 million fine

8/16/2018

Jeffrey Davis, an Ameriprise rep based in Virginia, notified the dual registrant of the name of his outside business. Later, when Davis fraudulently s...

Sure looks like you need to disclose a ‘material’ disciplinary event, distribute new brochure

8/16/2018

May you never have to answer this question: Must we disclose a disciplinary event in our Form ADV brochure and distribute the document to our clients?...

Insurance salesman ordered to pay $356,000 for ripping off elderly client

8/16/2018

As SEC commissioners consider what to do next about their fiduciary duty proposals, supporters for a best interest standard may have a new poster boy....

LAWS & REGULATORY ACTIONS

Full text of the Securities Acts, final and proposed rules, enforcement actions and regulatory releases.

Citigroup Global Markets Inc. and Citigroup:Cutbacks in staff lead to compliance valuation troubles, failure to supervise and $5.7 million fine

Ameriprise Financial Services: $4.5 million fine for poor compliance P&Ps that missed five separate reps who ripped off clients

Lockwood Advisors: Adviser fined $200,000 for poor compliance P&Ps for step-out trades in wrap fee program

COMPLIANCE TOOLBOX

Save time with 100+ tools and sample documents.

Cyptocurrency questions asked of advisers during SEC exams

An IA's compliance P&P Manual

Instructions for completing the Form ADV Brochure