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

 
CODE OF ETHICS NEWS & GUIDANCE
12/20/2018 | Content area: Investment Adviser
With the SEC mired in figuring out whether to clarify fiduciary duty standards, the agency may wish to consider one hiding in plain sight. The CFP Boa...
9/20/2018 | Content area: Investment Adviser
If your firm pays a radio station to run an ad, you better tune in.   That’s one lesson from the SEC enforcement action against Creative Planning ($36...
9/06/2018 | Content area: Investment Adviser
The Investment Advisers Act calls for you to be informed when your firm’s code of ethics is violated. What you do from there can be a challenge.   Con...
11/22/2017 | Content area: Investment Adviser
You can call them virtual, digital or alternative currencies but more and more people refer to them as cryptocurrencies and see them as one thing: mon...
6/01/2017 | Content area: Investment Adviser
You’ll find “chief compliance officer” listed only five times within Advisers Act rules – four of these references are found within the codes of ethic...
2/09/2017 | Content area: Investment Adviser
Your compliance role can be so much easier when management supports you – and ever more painful when a firm’s owner overrules you.   A new SEC settlem...
10/27/2016 | Content area: Investment Adviser | Broker-Dealer
Investment advisers’ and broker-dealers’ compliance manuals, codes of ethics, employment agreements and severance agreements are being scrutinized by ...
6/22/2016 | Content area: Investment Adviser
It’s now officially a trend—the SEC bringing enforcement actions against investment advisers for defrauding professional athletes. For the third time ...
8/18/2015 | Content area: Investment Adviser
When the SEC releases three enforcement cases on the same day – tied to the same issue – you know a message is being sent. The message: violations of ...
6/26/2015 | Content area: Investment Adviser
You may wish to do more before deciding an access person’s personal trades don’t need to be reviewed because they supposedly fall under the code of et...
4/02/2015 | Content area: Investment Adviser
Nearly all advisers don’t place a limit on the number of personal trades staff can make annually. The typical holding period – for firms that have one...
3/19/2015 | Content area: Investment Adviser
With the month’s end in sight, the clear majority of advisers are putting the final touches on their amended Form ADV. One of those final checks shoul...
10/07/2013 | Content area: Investment Adviser
Contemplate adding this strategy to your compliance quiver: when you find a violation of your firm's code of ethics, go back and check the employee's ...
9/02/2013 | Content area: Investment Adviser
It's not uncommon for CCOs to oversee multiple entities these days, e.g., a mutual fund adviser and one that handles separately managed accounts. If y...
5/13/2013 | Content area: Investment Adviser
That exam initiative announced last fall by the newly-named OCIE Director Drew Bowden continues to percolate but more time is needed before the agency...
3/18/2013 | Content area: Investment Adviser
When does a head trader turn into the belle of the ball? When he's new.The line of brokers coming to see the new head trader named by NFJ Investment G...
12/17/2012 | Content area: Investment Adviser
What SEC examiners focus on can shift like the sands, depending on what's hot and the type of firm being queried. We've come up with a list of common ...
7/16/2012 | Content area: Investment Adviser
Some firms make the mistake of cramming so much into their code of ethics that it can't realistically be policed - setting themselves up for a brutal ...
11/21/2011 | Content area: Investment Adviser
The SEC provides broad outlines of how you should implement your code of ethics. You're free to go beyond the basics, but if you do, be prepared to ba...
9/05/2011 | Content area: Investment Adviser
The SEC doesn't require you to include a gifts and entertainment policy in your code of ethics but many reasons suggest this as a best practice - not ...
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