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 REGULATORY GUIDANCE
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...
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
Rules and Regulations promulgated under the Investment Advisers Act of 1940Rule 204-2 -- Books and Records to Be Maintained by Investment AdvisersEver...
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Adoption of code of ethics. If you are an investment adviser registered or required to be registered under section 203 of the Act, you must establ...
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 ...
8/31/2004 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
The Securities and Exchange Commission is adopting a new rule and related rule amendments under the Investment Advisers Act of 1940 that require regis...
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