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

 
INVESTMENT ADVISER BUSINESS CONTINUITY PLANNING COMPLIANCE TOOLBOX
5/03/2019 | Content area: Investment Adviser
Richard Chen of Richard L. Chen PLLC in New York shares a checklist to help guide an adviser's annual review of its business continuity plan.
3/22/2016 | Content area: Investment Adviser
A peer shares the firm's P&Ps for a variety of events covered in its business continuity plan.
3/22/2016 | Content area: Investment Adviser
A peer shares part of the firm's P&Ps for business continuity. Click here to see its template.
3/14/2016 | Content area: Investment Adviser
A peer shares 15 tips for responding to a disaster.
8/21/2013 | Content area: Investment Adviser | Broker-Dealer
This is a list of best practices for firms to consider as part of their business continuity planning (BCP). The SEC, CFTC and FINRA jointly produced t...
1/09/2013 | Content area: Investment Adviser
This is an SEC sweep exam letter sent to some advisers inquiring about their business continuity plans (BCPs) following Hurricane Sandy in October 201...
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