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

 
CUSTODY REGULATORY GUIDANCE
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Safekeeping required. If you are an investment adviser registered or required to be registered under section 203 of the Act, it is a fraudulent, d...
9/26/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
An investment adviser registered under this title shall take such steps to safeguard client assets over which such adviser has custody, including, wit...
7/07/2014 | Content area: Investment Adviser
Confusion over custody for advisers using special purpose vehicles (SPVs) gained greater clarity in a new release from the SEC's Division of Investmen...
3/10/2014 | Content area: Investment Adviser
It was expected the SEC would reach out to advisers about how to complete Item 9 (custody) of Form ADV, Part 1 after IA Watch reported that many advis...
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