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

 
VALUATION NEWS & GUIDANCE
11/09/2018 | Content area: Investment Adviser
If you’re an adviser to a mutual fund that wishes to begin using swing pricing when the SEC’s rules take effect Nov. 19, remember you must have releva...
11/01/2018 | Content area: Investment Adviser | Private Fund
Within days of an SEC action against Yorkville Advisors in 2012, the defendants filed a furious response, calling the claim of fraud “baseless,” “an e...
12/14/2017 | Content area: Investment Adviser
The SEC’s Division of Investment Management has set its sights on the myriad disclosure forms of advisers and funds with a view toward potential impro...
7/27/2017 | Content area: Investment Adviser
It was one of the biggest SEC enforcement settlements in recent history. PIMCO ($1.4T in AUM) in Newport Beach, Calif., agreed last year to pay $20 mi...
5/25/2017 | Content area: Investment Adviser
Big picture changes to the GIPS standards are being contemplated by the CFA Institute. The institute would like to see you weigh in on its recently re...
5/18/2017 | Content area: Investment Adviser
Grappling with a hard-to-value asset can feel as frustrating as trying to kill a persistent weed in your garden. While valuation has cooled somewhat f...
10/20/2016 | Content area: Investment Adviser
The third and final new SEC rule targeting mutual funds gives fund advisers an option when redemptions spark trouble.   The Investment Company Swing P...
10/20/2016 | Content area: Investment Adviser
Valuing “complex and illiquid securities” can be tough enough. To find that a third-party’s product designed to help you with such valuations was flaw...
4/28/2016 | Content area: Investment Adviser | Private Fund
The number of SEC examinations resulting in a referral to the Division of Enforcement has remained fairly constant over the past five years—falling in...
9/10/2015 | Content area: Investment Adviser
You’ve known since Dodd-Frank passed and ordered the SEC’s Division of Investment Management to once again employ examiners that firms would have to w...
4/23/2015 | Content area: Investment Adviser
If you’re an investment company adviser that’s never been examined by the SEC and the fund has been registered for more than a year, you now have a sc...
4/02/2015 | Content area: Investment Adviser | Private Fund
Lynn Tilton and her New York-based Patriarch Partners firms were hit with SEC fraud charges March 30 tied to concealing the poor performance of loan a...
3/03/2015 | Content area: Investment Adviser | Private Fund
The adviser had set up a committee to deal with conflicts. The firm’s CFO and CCO formed the entirety of the “conflicts committee.” Problem was the co...
2/19/2015 | Content area: Investment Adviser
It’s too early for results from OCIE’s sweep exam of alternative mutual funds conducted last year (IA Watch, Aug. 28, 2014), and it’s not even certain...
7/14/2014 | Content area: Investment Adviser
Earlier this year, we reported OCIE's sweep of alternative mutual fund advisers (IA Watch, April 28, 2014). Now, SEC Director of Investment Management...
2/17/2014 | Content area: Investment Adviser | Private Fund
We asked your peers for compliance tests they'll be conducting this year. Their plans include:1. Staying within clients' investment parameters. Wasmer...
11/11/2013 | Content area: Investment Adviser | Private Fund
For years, OCIE has talked of its use of risk analysis to select advisory firms to examine but perhaps no brighter light has been shined on the proces...
8/19/2013 | Content area: Investment Adviser | Private Fund
If you're a mutual fund CCO, you may want to help prep board members for interviews conducted during an SEC exam. That's one of the lessons from the a...
8/19/2013 | Content area: Investment Adviser
You can almost hear echoes of the Morgan Keegan case amid the allegations against two London-based former traders at J.P. Morgan. The pair face possib...
6/24/2013 | Content area: Investment Adviser
The aftermath of the SEC's settlement with eight former board members of five mutual funds related to Morgan Keegan & Company ($10B in AUM) in Memphis...
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