Conquering Current Compliance Challenges
April 10, 2019 | 2:00 - 2:30 PM EST

Real-Life Lessons Learned from Peers Who’ve Had to Implement their BCPs
April 16, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: March 13, 2019 
  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

 
BOOKS AND RECORDS NEWS & GUIDANCE
3/21/2019 | Content area: Investment Adviser
Back in December, we reported that sources were stating that the SEC was pivoting a bit from its focus on 12b-1 fees and share class allocations (see ...
3/21/2019 | Content area: Investment Adviser
It’s hard to get a handle on how many advisers receive 12b-1 fees for placing clients in certain mutual fund share classes. Look to Form ADV data and ...
3/21/2019 | Content area: Investment Adviser
It can be difficult to determine when an aging client is slipping into dementia and advisers can feel pressured that unnecessarily raising an alarm co...
3/21/2019 | Content area: Investment Adviser
Congress is being asked to approve a $1.74 billion budget for the SEC for the 2020 fiscal year beginning in October. This would mark a 2.7% increase o...
3/21/2019 | Content area: Investment Adviser
You may wish to consider live or videotaped training around the SEC’s pay-to-play rule.   Generation Investment Management ($8.4B in AUM) in San Franc...
3/21/2019 | Content area: Investment Adviser
After achieving 100% of its planned milestone’s last year, the SEC’s Division of Investment Management is actively moving on a number of priorities co...
3/21/2019 | Content area: Investment Adviser
Investment companies will enjoy a phase-in period before being required to file disclosures with the SEC in an HTML format with hyperlinks. The first ...
3/21/2019 | Content area: Investment Adviser
SEC commissioners March 20 approved a new proposal that would streamline the registration process for BDCs and other closed-end investment companies. ...
3/18/2019 | Content area: Investment Adviser
IA Watch's latest video runs 1:48 and is designed to acquaint the new CCO at an advisory firm with fundamental compliance topics to be aware of.  
3/14/2019 | Content area: Investment Adviser
OCIE chalked up more than 2,000 IA exams in FY 2018, visiting 17% of all firms. These numbers may be out of reach in FY 2019 (IA Watch, Jan. 10, 2019)...
3/14/2019 | Content area: Investment Adviser
A new letter from the SEC’s Division of Investment Management seeks your guidance on how the agency should deal with the non-delivery versus payment c...
3/14/2019 | Content area: Investment Adviser
Paul Edmunds used to be a broker-dealer before he opened his own RIA. Four years ago, he converted the advisory firm into “a multi-generational, singl...
3/14/2019 | Content area: Investment Adviser
Gooder can clearly do better. Grenville Gooder, Jr., a 55-year securities industry veteran, and his SEC-registered advisory firm Ascension Asset Manag...
3/13/2019 | Content area: Investment Adviser
SEC Commissioner Hester Peirce has picked up the mantle carried by former SEC Commissioner Dan Gallagher in openly supporting compliance staff (IA Wat...
3/11/2019 | Content area: Investment Adviser
We had told you in December to expect a slew of settlements from advisers that took advantage of the SEC’s self-reporting initiative (IA Watch, Dec. 1...
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...
3/08/2019 | Content area: Investment Adviser
Fidelity is being asked by next week to supply answers to Massachusetts officials about fees it obtains from mutual funds. This development follows ne...
3/08/2019 | Content area: Investment Adviser
You still have plenty of time – until May 2 – to comment on the SEC’s recent proposal to rescind one rule and add a new one defining what registered f...
3/08/2019 | Content area: Investment Adviser
At 67 years of age – and after 35 years in the business – John Schmidt is going out of the industry wrapped in infamy.   A federal judge last month or...
3/08/2019 | Content area: Investment Adviser
In recognition that business can be conducted from anywhere these days, the SEC’s Division of Investment Management has issued no-action relief reques...
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