Conquering Current Compliance Challenges
June 12, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: May 15, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
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

 
BEST EXECUTION NEWS & GUIDANCE
4/11/2019 | Content area: Investment Adviser
Completing the Commission’s standards of conduct rulemaking remains “a top priority” for SEC Chairman Jay Clayton. In an address April 8 at the annual...
3/08/2019 | Content area: Investment Adviser
The SEC exam did not go well. For some reason, examiners honed in on the small adviser relying entirely upon its clearing broker for best execution. B...
7/19/2018 | Content area: Investment Adviser
That new OCIE risk alert represents only the latest effort by the SEC to drill into firms their obligation to seek best execution (IA Watch, July 11, ...
7/11/2018 | Content area: Investment Adviser
OCIE’s second risk alert of the year has hit the street and it includes a litany of actions to avoid if you wish to skip trouble from examiners.   The...
8/03/2017 | Content area: Investment Adviser
A year after OCIE released a risk alert warning it would look at share class allocations, another adviser faces a multi-million dollar penalty for fai...
7/20/2017 | Content area: Investment Adviser
KMS Financial Services ($5.9B in AUM) in Seattle freely disclosed in its Form ADV that it had a relationship with a clearing broker. The dual-registra...
10/06/2016 | Content area: Investment Adviser
Maybe the fourth time’s the charm for Moloney Securities Co. and its President and Chief Investment Officer Joseph Medley, Jr. After three separate SE...
7/28/2016 | Content area: Investment Adviser
The long-running case of Dennis Malouf may finally be nearing its end. SEC commissioners have unanimously decided to eject him from the business he ha...
1/15/2016 | Content area: Investment Adviser
A small investment adviser based in Ohio is paying the price for not giving compliance its due.   Everhart Financial Group ($250M in AUM) in Dublin, O...
12/22/2015 | Content area: Investment Adviser
Lessons aplenty can be found in the new SEC settlement with Morgan Stanley Investment Management ($257B in AUM) over the illegal “parking” of some tra...
12/03/2015 | Content area: Investment Adviser
Details on exam trends and the application of exemptions and exclusions from the municipal advisor registration rules will be among the issues covered...
11/12/2015 | Content area: Investment Adviser
Recent enforcement actions demonstrate that best execution hasn’t slipped from regulators’ list of inquiring topics.   An examination by IA Watch of s...
4/09/2015 | Content area: Investment Adviser
It’s well established that seeking best execution doesn’t rest on price alone (IA Watch, Nov. 1, 2010). A new decision by an SEC ALJ bars a former adv...
3/12/2015 | Content area: Investment Adviser
Few transactions offer less transparency and price comparisons than derivatives. There aren’t clear best execution obligations for these instruments. ...
11/25/2014 | Content area: Investment Adviser
The punishment for a CCO that failed to adequately disclose a conflict of interest that generated $1 million in commissions includes a 12-month indust...
10/09/2014 | Content area: Investment Adviser
The advent of high-frequency trading and the use of so-called dark pools has shifted the training dynamic. Now, the shrewd compliance officer gets tra...
8/04/2014 | Content area: Investment Adviser
Your obligation to seek best execution leaves it up to you to decide how to achieve it. There are suggested best practices (IA Watch, Aug. 12, 2013), ...
7/28/2014 | Content area: Investment Adviser | Broker-Dealer
FINRA is concerned that some of its registered reps may be executing customer orders in ways that benefit the reps rather than the customers. The SRO ...
4/14/2014 | Content area: Investment Adviser | Private Fund
One test to help you assess whether clients are being treated fairly is to examine performance dispersion. Run a report on performance of all client a...
10/21/2013 | Content area: Investment Adviser
The SEC's latest message via best execution enforcement drills a dually-registered firm with fines and penalties in excess of $1 million for purchasin...
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