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

 
BUSINESS CONTINUITY PLANNING NEWS & GUIDANCE
5/09/2019 | Content area: Investment Adviser
When you and your staff calm down after an event that triggered the launching of your business continuity plan, know that the cyber bad guys could be ...
12/06/2018 | Content area: Investment Adviser
Deborah Lamb sat parked in her car, waiting her turn in line at a drive-through coffee kiosk when it struck. “I thought my car was going to explode,” ...
9/27/2018 | Content area: Investment Adviser
When the worst of Hurricane Florence was lashing Wilmington, N.C., Vinton Fountain huddled with his family in the safest part of their house, terroriz...
8/09/2018 | Content area: Investment Adviser
Fire scorches California so frequently that nature’s rage could even spark a certain amount of complacency.   “We always laughed at the business conti...
6/21/2018 | Content area: Investment Adviser
Few parts of the country spar with hurricanes like southeastern Texas. But last year’s Hurricane Harvey slammed Houston and surrounding areas with a r...
5/03/2018 | Content area: Investment Adviser
While The Robare Group’s enforcement case remains unresolved, the SEC isn’t giving up on the contention that the use of the word ‘may’ in describing t...
3/08/2018 | Content area: Investment Adviser
Regulation SCI first became effective back in November 2015. The SEC has now brought its first-ever charged violation of Reg SCI. On March 6, the Comm...
1/11/2018 | Content area: Investment Adviser
SEC officials won’t comment but it looks as if one of the 2018 predictions we’ve shared – that the agency’s transition planning/BCP proposal from 2016...
11/16/2017 | Content area: Investment Adviser
A rulemaking barometer that compliance professionals have paid a great deal of attention to in the past will get streamlined going forward. The SEC’s ...
11/02/2017 | Content area: Investment Adviser
Treasury Department Secretary Steven Mnuchin believes the regulatory framework for the asset management industry “can be significantly improved.” With...
9/07/2017 | Content area: Investment Adviser
KMH Wealth Management CCO Phyllis Keller was thinking this past spring of clever ways to conduct a mock disaster recovery drill (IA Watch, March 30, 2...
3/30/2017 | Content area: Investment Adviser
You arrive at work to find a most disturbing sign posted on the office door: poison gas present. What would you do?   Phyllis Keller, CCO at KMH Wealt...
11/17/2016 | Content area: Investment Adviser
Odds are you have only months before the SEC will mandate that you must have a written transition plan. Many advisers lack them. Listen to peers who h...
10/20/2016 | Content area: Investment Adviser
Murphy’s law was on full display again. An adviser in Jacksonville, Fla., revved up its generator hours before the full brunt of Hurricane Matthew was...
9/29/2016 | Content area: Investment Adviser
Reputational damage, congressional inquiries, lawsuits and clawbacks of bonuses are among the repercussions dripping from Wells Fargo’s embarrassing a...
9/08/2016 | Content area: Investment Adviser
A number of industry heavy hitters are in lockstep agreement on the SEC’s proposed new rule that would require investment advisers to adopt and implem...
8/11/2016 | Content area: Investment Adviser
Open up any SEC proposed or final rule and you’ll find the actual rule in the back. But the lead up to the formal regulatory language – known as the “...
7/14/2016 | Content area: Investment Adviser
The foresight inherent in decreeing that investment advisers have written business continuity and transition plans could be seen as quickly as a look ...
6/28/2016 | Content area: Investment Adviser
The long-promised proposal to require transition plans for investment advisers has finally emerged from the Commission (IA Watch, Dec. 11, 2014). A ne...
3/31/2016 | Content area: Investment Adviser
With tornado season upon us, it’s a ripe time to contemplate your business continuity plan.   Thanks to Hollywood, no state is more synonymous with th...
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