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 COMPLIANCE TOOLBOX
3/19/2019 | Content area: Investment Adviser
A peer shares the advisory firm's soft dollars checklist.
3/15/2019 | Content area: Investment Adviser
This is an example of an IPS or investment policy statement.
3/15/2019 | Content area: Investment Adviser
This is an example of an IPS or investment policy statement.
3/15/2019 | Content area: Investment Adviser
This is a code of ethics for an investment advisory firm.
2/27/2019 | Content area: Investment Adviser
Ben Anderson, principal with Anderson PLC in Minneapolis, provides this checklist for advisers entering into contracts with vendors.
2/04/2019 | Content area: Investment Adviser
Form N-2 is to be used by closed-end management investment companies, except small business investment companies licensed as such by the United States...
2/04/2019 | Content area: Investment Adviser
Form N-3 shall be used by all separate accounts offering variable annuity contracts which are registered under the Investment Company Act of 1940 (“19...
2/04/2019 | Content area: Investment Adviser
Form N-4 shall be used by all separate accounts offering variable annuity contracts which are registered under the Investment Company Act of 1940 (“19...
2/04/2019 | Content area: Investment Adviser
Form N-5 is to be used for registration under the Securities Act of 1933 of securities issued by any small business investment company which is regist...
2/04/2019 | Content area: Investment Adviser
Form N-6 is to be used by separate accounts that are unit investment trusts that offer variable life insurance contracts to register under the Investm...
2/04/2019 | Content area: Investment Adviser
This form shall be used as the form for registration statements to be filed, pursuant to Section 8(b) of the Investment Company Act of 1940, by unit i...
2/04/2019 | Content area: Investment Adviser
Form N-14 may be used by all management investment companies registered under the Investment Company Act of 1940 (“1940 Act” or“Investment Company Act...
2/04/2019 | Content area: Investment Adviser
Form N-CSR is to be used by management investment companies to file reports with the Commission not later than 10 days after the transmission to stock...
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...
1/01/2019 | Content area: Investment Adviser
This primer is written by Lauri London. She is in private law practice with the firm of Cohen & Buckmann PC where she advises clients on investment ad...
12/11/2018 | Content area: Investment Adviser
This is a code of the board's revised code that takes effect in October 2019.
11/15/2018 | Content area: Investment Adviser
This is the list of FAQs released by the SEC's Division of Investment Management in November 2018.
11/14/2018 | Content area: Investment Adviser
SIFMA has produced an example of a form you can give clients to obtain a trusted contact to reach out to in case the need arises. Find more from SIFM...
11/12/2018 | Content area: Investment Adviser
The SEC’s Office of the Investor Advocate engaged the RAND Corporation to conduct a nationwide survey and qualitative interviews of investors to gathe...
11/02/2018 | Content area: Investment Adviser
The Commission brought 821 actions (490 of which were “stand alone” actions) and obtained judgments and orders totaling more than $3.9 billion in disg...
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