IA Compliance: The Full 360° View East 
March 7-8, 2019 | Washington, D.C.

UPCOMING WEBINARS

Conquering Current Compliance Challenges
Feb. 13, 2019 | 2:00 - 2:30 PM EST

Strategies to Make this Year’s Form ADV Update a Breeze
Feb. 19, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: January 16, 2019 
  Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

The SEC Examinations Priorities Handbook
Includes: 28 Best Practices, 20 Document Request Letters and 6 OCIE Risk Alerts

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
INVESTMENT ADVISER LAWS & REGULATORY ACTIONS
1/17/2019 | Content area: Investment Adviser
The SEC's complaint alleges that Ieremenko circumvented EDGAR controls that require user authentication and then navigated within the EDGAR system. Ie...
12/26/2018 | Content area: Investment Adviser
Dubiel, without giving notice to the affected clients, shared his First Allied confidential client account log-in credentials with Woodard. Dubiel kne...
12/26/2018 | Content area: Investment Adviser
Nadel fraudulently induced clients of RIA to invest tens of millions of dollars in what he falsely represented as a liquid, cash management investment...
12/21/2018 | Content area: Investment Adviser
This is legislation that passed the House in 2018.
12/21/2018 | Content area: Investment Adviser
Timbervest and the Division recognize that, according to Lucia v. SEC, 138 S. Ct. 2044 (2018), Timbervest would be entitled to a “new hearing” before ...
12/21/2018 | Content area: Investment Adviser
In reality, Black Diamond managed no marketable assets at the time and has never met the minimum requirements for investment adviser registration with...
12/21/2018 | Content area: Investment Adviser
This matter involves a registered investment adviser—Hedgeable—that disseminated false and misleading marketing materials and performance data. Hedgea...
12/21/2018 | Content area: Investment Adviser
Wealthfront retweeted certain tweets from its clients on its Twitter account that constituted testimonials, which investment advisers are not permitte...
12/21/2018 | Content area: Investment Adviser
These proceedings arise out of improper mutual fund share class selection practices by registered investment adviser PPS and its majority owner, Lawre...
12/21/2018 | Content area: Investment Adviser
APA failed to disclose that it and its investment adviser representatives (“IARs”) had a conflict of interest as a result of the additional compensati...
12/21/2018 | Content area: Investment Adviser
Respondents mischaracterized the Fund as being “hedged,” when in fact the use of these new kinds of derivatives added risk. Respondents’ description o...
12/21/2018 | Content area: Investment Adviser
These proceedings arise from breaches of fiduciary duty and inadequate disclosures by TFS, a registered investment adviser and broker-dealer, Parker a...
12/20/2018 | Content area: Investment Adviser
We are adopting a rule to implement a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The new rule requires a company to d...
12/20/2018 | Content area: Investment Adviser
This is OCIE's exam priorities for 2019.
12/20/2018 | Content area: Investment Adviser
Walter Grenda continued to associate with Grenda Group, LLC - an entity he and his son, Gregory M. Grenda, formed in part to replace his previous inve...
12/20/2018 | Content area: Investment Adviser
Sterling, a registered investment adviser, made material misstatements and omissions to its clients and prospective clients in advertising the back-te...
12/20/2018 | Content area: Investment Adviser
Polese along with a co-conspirator misappropriated the retirement savings of two clients for their own personal use. The criminal information further ...
12/20/2018 | Content area: Investment Adviser | Private Fund
Staff Letter No-Action relief under Section 206(4) and Rule 206(4)-2 under the Investment Advisers Act of 1940 Dec. 20, 2018 Investment Advisers Ac...
12/19/2018 | Content area: Investment Adviser
The Securities and Exchange Commission (the “Commission”) is proposing a new rule under the Investment Company Act of 1940 (“Investment Company Act” o...
12/18/2018 | Content area: Investment Adviser
These proceedings involve violations of the Commission’s “pay-to-play” rule for investment advisers by Respondent Ancora Advisors, an investment advis...
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