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

 
INVESTMENT ADVISER SEC EXAMINATIONS COMPLIANCE TOOLBOX
1/04/2019 | Content area: Investment Adviser
Click here to open an Excel file that is described as OCIE's latest request for how examined firms should construct their trade blotters. This comes c...
4/17/2018 | Content area: Investment Adviser
Supplemental Information for Entities Directed to Supply Information to the Commission Other Than Pursuant to Commission Subpoena
4/17/2018 | Content area: Investment Adviser
The examination staff of the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (Commission) has prepa...
4/17/2018 | Content area: Investment Adviser
Karen Huey of Professional Compliance Assistance in Woodstock, Ga., gives us permission to share with you her 18-point guide to an on-site exam by OCI...
2/13/2018 | Content area: Investment Adviser
A peer shares OCIE's target date sweep letter that the firm received.
2/13/2018 | Content area: Investment Adviser
A peer shares the OCIE document request letter received by the firm. This one concentrates on wrap fee programs. It also featured an example of an ext...
2/13/2018 | Content area: Investment Adviser
This exam, out of the SEC's Boston Regional Office, seeks extensive information on the adviser's private funds.
2/13/2018 | Content area: Investment Adviser
This letter includes language directed at the adviser if it makes a privilege claim.
2/13/2018 | Content area: Investment Adviser
This document request letter asks many questions about possible cybersecurity events suffered by the adviser
2/13/2018 | Content area: Investment Adviser
This is a never-been examined request letter that went to an adviser.
2/13/2018 | Content area: Investment Adviser
This is a common exam letter.
2/13/2018 | Content area: Investment Adviser
Consider this another never-been-examined-before adviser undergoing an SEC exam.
2/25/2017 | Content area: Investment Adviser | Private Fund
Click here to open a Word file contributed by SEC3 Compliance Consultants in Phoenixville, Pa. This is a list of 30 SEC exam preparation tips for befo...
1/12/2017 | Content area: Investment Adviser
This release, from January 2017, describes the top exam priorities for the SEC's Office of Compliance Inspections and Examinations for 2017.
4/18/2016 | Content area: Investment Adviser
A peer shares the firm's SEC document request letter. The firm had never been examined before. A topic pursued by examiners was how the firm handled w...
4/18/2016 | Content area: Investment Adviser
An SEC sweep exam looking at pay-to-play issues most likely explains this document request letter. This came out of the SEC's Chicago regional office.
2/16/2016 | Content area: Investment Adviser
The staff of the U.S. Securities and Exchange Commission’s Risk and Examinations Office of the Division of Investment Management is reviewing how firm...
2/09/2016 | Content area: Investment Adviser
This letter showcases the topics of interest from an SEC exam that's part of its ReTIRE initiative. This letter comes courtesy of Jason Roberts, CEO o...
1/05/2016 | Content area: Investment Adviser
This December 2015 letter comes from a "phone" exam. It contains a long list of items, including for a list of mutual funds with share classes held by...
4/28/2015 | Content area: Investment Adviser | Private Fund
Click here to open a Word file that a peer assembled based on the SEC's document request letter received by the firm in a 2014-2015 exam.
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