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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

Thousands of comments deluge the SEC about fiduciary duty proposals

8/09/2018

Now that the SEC has feedback on its three fiduciary duty-related proposals, the challenge for commissioners will be to take in all of the diverging v...

Actions to consider as SEC spotlights how advisers handle their aging clients

8/09/2018

Even before a new law granted immunity to advisers who undergo training to spot financial exploitation of the elderly (IA Watch, May 24, 2018), Nathan...

BCP lessons from the front lines: Tips on how to act when time’s not on your side

8/09/2018

Fire scorches California so frequently that nature’s rage could even spark a certain amount of complacency. “We always laughed at the business conti...

LAWS & REGULATORY ACTIONS

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

Christopher Collins, et al., Lauren Zarksy, Dorothy Zarsky: SEC Charges U.S. Congressman and Others with Insider Trading

Hamlin Capital Management: Adviser fined $900,000 for fixing cross trades

Knowledge Leaders Capital: $50,000 fine after adviser self-reports soft dollars violations, leads to the hiring of a new CCO

COMPLIANCE TOOLBOX

Save time with 100+ tools and sample documents.

An IA's compliance P&P Manual

Instructions for completing the Form ADV Brochure

OCIE sweep exam looking at cryptocurrencies