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

 
SOFT DOLLARS NEWS & GUIDANCE
10/26/2017 | Content area: Investment Adviser
SEC Chairman Jay Clayton has delivered as promised, giving the industry assurances that soft dollar research practices that conflict with the EU’s com...
7/20/2017 | Content area: Investment Adviser
January can seem a long way away in July but the start of MiFID II early next year will require certain firms to take actions long before then (IA Wat...
5/11/2017 | Content area: Investment Adviser
Soft dollars enforcement actions brought by the SEC occur a bit more frequently than a Big Foot sighting. But when they do, they can leave a big impri...
6/23/2016 | Content area: Investment Adviser
If you question how closely your clients read your Form ADV, imagine the reaction you might receive if it disclosed that $329,000 in soft dollars woul...
6/02/2016 | Content area: Investment Adviser
The wrinkles in the Department of Labor’s new fiduciary duty rule are starting to show (IA Watch, April 14, 2016). Take soft dollars.   Even though Ex...
3/19/2015 | Content area: Investment Adviser
There’s no debate. Firms can’t use their soft dollars to cover a trade error (IA Watch, Nov. 7, 2011). End all doubt by checking out this language fro...
8/11/2014 | Content area: Investment Adviser
An investment adviser and two principals paid dearly last week for misusing soft dollars, including using soft dollars for a $214,000 divorce payment....
4/21/2014 | Content area: Investment Adviser
Describing the concept of soft dollars can be a challenge. Poor disclosures about soft dollars usage can lead to an enforcement action (IA Watch, Oct....
4/21/2014 | Content area: Investment Adviser
There may be a slight trend of moving away from the use of soft dollars, but no one envisions the practice disappearing like the horse and buggy. An I...
9/09/2013 | Content area: Investment Adviser
The latest case of the SEC targeting an advisory firm CCO for malfeasance centers not on the firm's lack of fiduciary duty to all of its clients as mu...
12/03/2012 | Content area: Investment Adviser
You may be surprised to learn that soft dollar arrangements in one form or another date back to the 1700s. That's a tidbit contained in a new 45-page ...
4/09/2012 | Content area: Investment Adviser
What constitutes soft dollar services can sometimes seem as difficult to discern as vanilla against a white background (IA Watch, May 17, 2010). We'll...
3/26/2012 | Content area: Investment Adviser
By the end of this week you will have had to answer Item 8.G.1 and 8.G.2 on the new Form ADV, Part 1. These are the questions having to do with soft d...
3/14/2011 | Content area: Investment Adviser
It's never easy to capsulize soft dollars usage. Take commission-sharing arrangements. This phrase creates confusion because regulators in England tak...
9/27/2010 | Content area: Investment Adviser
Investment advisers should find more willing sources of research thanks to a new soft dollars interpretation from the SEC. The Division of Investment ...
5/17/2010 | Content area: Investment Adviser
The biggest risk for firms when it comes to soft dollars is failing to disclose they engage in these arrangements when they do. Compliance staff need ...
11/30/2009 | Content area: Investment Adviser
FINRA has come down hard on a broker for more than $1 million in improper soft dollar payments, including $13,700 for a hedge fund manager to visit a ...
10/26/2009 | Content area: Investment Adviser
The notion of "mixed use" under soft dollars dates to 1986, although some firms remain confused about what fits within the safe harbor. Ironically, so...
8/31/2009 | Content area: Investment Adviser
Here's the scenario. Your firm serves as a sub-adviser on a wrap program's large cap portfolio. The sponsor of the wrap program forbids the use of sof...
7/20/2009 | Content area: Investment Adviser
Be cautious about accumulating too large a pool of soft dollar credits. You could see them vanish in a flash, or be accused of not satisfying the safe...
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