IA Compliance: The Full 360° View East 
March 7-8, 2019 | Washington, D.C.

UPCOMING WEBINARS

Conquering Current Compliance Challenges
Dec. 12, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: November 14, 2018 
 
HANDBOOKS
  Includes: 9 Best Practices, 3 Proposed Disclosure Mockups
and a 60-minute Audio Webinar

The Adviser's Guide to SEC Advertising and Marketing Rules
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

The SEC Examinations Priorities Handbook
Includes: 28 Best Practices, 20 Document Request Letters and 6 OCIE Risk Alerts

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
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,” ...
12/06/2018 | Content area: Investment Adviser
If a legal action were a prize fight, the advisers would have lost in a knockout. A Kentucky judge has dismissed all claims by a group of major advise...
12/06/2018 | Content area: Investment Adviser
The view of one CCO about the effectiveness of e-mail reviews isn’t an outlier.   “My personal opinion is that routine e-mail reviews are not worth do...
12/06/2018 | Content area: Investment Adviser
It sounds like an exterminator’s dream. A “bug bounty.” But it’s really a way to discover flaws in your software before a cyber bad guy finds them and...
12/06/2018 | Content area: Investment Adviser
You’re going to love our latest innovation at www.regcompliancewatch.com: the ability to save your searches as a Compliance Alert.   This means anytim...
12/06/2018 | Content area: Investment Adviser
Despite the comment period for the SEC’s trio of fiduciary duty-related proposals closing this past summer, the industry continues to weigh in on prop...
11/29/2018 | Content area: Investment Adviser | Private Fund
Steven Zoernack’s first conviction for a financial crime came in 1999. His second followed eight years later when he pleaded guilty to ripping off inv...
11/29/2018 | Content area: Investment Adviser
Make a note to review the accounts of senior clients every six to 12 months “to see what’s been happening,” recommended Ronald Long, the director of e...
11/29/2018 | Content area: Investment Adviser
Prosecutors say James Polese “lived a very affluent life on a generous salary and bonus structure for many years” yet he “chose to cheat and use his c...
11/29/2018 | Content area: Investment Adviser
It’s not often that a regulator gives you an opportunity to amend a long-passed rule but that’s what the SEC is doing. In a new release, the agency li...
11/29/2018 | Content area: Investment Adviser
Executives at the Atlanta advisory firm Timbervest vowed to fight on after a 2015 unanimous decision by SEC commissioners found they had cheated a cli...
11/29/2018 | Content area: Investment Adviser
In October, the SEC gave the industry only 30 days to comment on its long-delayed swaps rules and attracted 21 comments before the deadline closed las...
11/29/2018 | Content area: Investment Adviser
The commencement of OCIE’s “Cyber 3” initiative (IA Watch, March 27, 2018) is expected at any time now, but the specter of being caught in a regulator...
11/29/2018 | Content area: Investment Adviser
A new lawsuit filed in federal court in California seeks to have further SEC ALJ proceedings against former IA Ray Lucia dismissed, claiming the ALJ s...
11/21/2018 | Content area: Investment Adviser
If you have your custodian automatically deduct your clients’ fees, be sure it can adjust for breakpoint discounts and can “household” the accounts.  ...
11/21/2018 | Content area: Investment Adviser
The goal for FY 2018 was for OCIE to examine 15% of IAs. Instead, examiners achieved examining 17% of the IA universe in the federal fiscal year that ...
11/21/2018 | Content area: Investment Adviser
It wasn’t the first time the client had asked that his adviser transfer a couple hundred thousand dollars from his account to a third party. All seeme...
11/21/2018 | Content area: Investment Adviser
As OCIE demonstrated recently with its cash solicitation risk alert (IA Watch, Oct. 31, 2018), advisers often fail to show they’ve done due diligence ...
11/21/2018 | Content area: Investment Adviser
In all honesty, if you’re an adviser with a mutual fund with more than $1 billion in assets, you should already have plans in place to comply with the...
11/21/2018 | Content area: Investment Adviser
Financial services firms struggle when it comes to governing their employees’ use of mobile devices for business communications, according to a newly ...
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