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

 
INVESTMENT ADVISER LAWS & REGULATORY ACTIONS
5/20/2019 | Content area: Investment Adviser
SEC Charges Four Individuals in a Microcap Fraud
5/20/2019 | Content area: Investment Adviser
SEC Files Subpoena Enforcement Against Individual for Failing to Produce Documents and Appear for Testimony
5/20/2019 | Content area: Investment Adviser
5/20/2019 | Content area: Investment Adviser
5/16/2019 | Content area: Investment Adviser
his central theme in Jasay’s work—“that it is monumental folly to ignore the state’s own interest in any analysis worthy of consideration”[47]—forces ...
5/16/2019 | Content area: Investment Adviser
In May 2009, JS Oliver requested that the Soft-Dollar Broker reimburse JS Oliver $329,365 using soft dollar credits for a payment to Mausner’s ex-wife...
5/09/2019 | Content area: Investment Adviser
Undoubtedly, digital assets can be securities if they meet the Howey test. On this point, the SEC has been very clear. In 2017, before my arrival at t...
5/09/2019 | Content area: Investment Adviser
Thompson, among other things, charged his clients unauthorized, unearned, and excessive fees, forged client signatures on advisory contracts, provided...
5/08/2019 | Content area: Investment Adviser
Lots of people want the SEC to wade into a whole range of issues that are not properly within our purview. Increasingly, we are urged to tell companie...
5/06/2019 | Content area: Investment Adviser | Broker-Dealer
Rocco Roveccio, a New Jersey resident, recommended to seven customers a pattern of high-cost, in-and-out trading without any reasonable basis to belie...
5/03/2019 | Content area: Investment Adviser
We are proposing amendments to our rules and forms to improve the disclosure requirements for financial statements relating to acquisitions and dispos...
5/03/2019 | Content area: Investment Adviser
From approximately 2009 through March 2011, Gierten misappropriated a total of $39,000 from one of his clients, who was an elderly military veteran. G...
4/30/2019 | Content area: Investment Adviser
To create an interdivisional taskforce at the Securities and Exchange Commission for senior investors.
4/26/2019 | Content area: Investment Adviser
You also represent that in relying on the requested relief to sell common shares of beneficial interest, each Fund will sell newly issued shares at a...
4/16/2019 | Content area: Investment Adviser
To amend the Internal Revenue Code of 1986 to encourage retirement savings, and for other purposes.
4/16/2019 | Content area: Investment Adviser | Broker-Dealer
Through sharing some of the Regulation S-P compliance issues it observed, OCIE encourages registrants to review their written policies and procedures,...
4/15/2019 | Content area: Investment Adviser
the Advisers continued to serve as investment advisers to certain series of the Quaker Investment Trust (the “Trust”) for a limited period of time pur...
4/12/2019 | Content area: Investment Adviser
In reality, First Picks was struggling financially and lacked cash flows to fund operations, making it a risky investment. It routinely required new i...
4/10/2019 | Content area: Investment Adviser
Gonzalo Ortiz, of Hackensack, New Jersey, falsely touted his success in investing in stocks and promised the investor a minimum 50% return in a year, ...
4/08/2019 | Content area: Investment Adviser
we would not recommend that the Commission take any enforcement action under Section 5(b) or Section 6(a) of the Securities Act against the Fund if i...
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