Conquering Current Compliance Challenges
Mar. 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: February 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 NEWS & GUIDANCE
2/14/2019 | Content area: Investment Adviser
Maryland-based adviser Dawn Bennett once paid $1.4 million for a luxury suite at AT&T Stadium, a perch from which she watched the Dallas Cowboys play....
2/14/2019 | Content area: Investment Adviser
Call it love late in life. She was in her 60s when she met a man in his 70s. It would become the second marriage for both. They lived together for 15 ...
2/14/2019 | Content area: Investment Adviser
Your aged clients make tempting targets for fraudsters because they’re believed to have money and could be manipulated into giving it away (see relate...
2/14/2019 | Content area: Investment Adviser
Ajenifuja Investments, we hardly knew ya.   Kevin Ajenifuja hoped to launch an internet advisory firm so, in 2015, he registered the firm with the SEC...
2/14/2019 | Content area: Investment Adviser
For the first time in two years, OCIE’s 2019 exam priorities letter didn’t call out robo-advisers as a key focus (IA Watch, Jan. 2, 2019). But does th...
2/07/2019 | Content area: Investment Adviser
There were so many opportunities to spot early on the 12-year-long fraud perpetrated by John Rogicki, the former CCO and longtime employee at the now-...
2/07/2019 | Content area: Investment Adviser
Open up Aegis Capital’s ($507M in AUM) latest Form ADV brochure and you’ll read this very intriguing nugget under material changes: The Firm has been ...
2/07/2019 | Content area: Investment Adviser
Be aware that the SEC’s Division of Investment Management has changed nine key forms should your firm have to file any of these. The links below go to...
2/07/2019 | Content area: Investment Adviser
Readers like lists – such as seven attributes of an effective CCO: 1. Regulatory knowledge; 2. Firm knowledge; 3. Industry experience; 4. Analytical i...
2/07/2019 | Content area: Investment Adviser
In an effort to rebuild trust after a considerably rocky regulatory road, Wells Fargo has released a business standards report that lists lessons lear...
1/31/2019 | Content area: Investment Adviser
Undoubtedly, having a process for your annual review relieves you of worry and sets the tone for accomplishing this critical task (IA Watch, Jan. 14, ...
1/31/2019 | Content area: Investment Adviser
Nevada has rolled the dice by proposing its own fiduciary duty rule last month. You have until March to share your comments about the proposal.   The ...
1/31/2019 | Content area: Investment Adviser
Given the SEC has just begun full operations after the record long partial government shutdown, it’s understandable that the agency hasn’t yet respond...
1/31/2019 | Content area: Investment Adviser
The protection of retail investors nationwide—particularly seniors—is a core mission of the SEC. A $1 billion penalty announced Jan. 28 against Woodbr...
1/28/2019 | Content area: Investment Adviser
If your firm was being examined or about to be when the government shutdown in late December, expect that OCIE will be reaching out soon to reschedule...
1/24/2019 | Content area: Investment Adviser
To reconcile means “to check against another for accuracy.”   Reconciliation is “a very important function” for the CCO, says Kurt Nuñez, a consultant...
1/24/2019 | Content area: Investment Adviser
First, thanks to those of you who recently took our online subscriber survey. Here are some of the results.   Fully half of respondents stated their c...
1/24/2019 | Content area: Investment Adviser
After two years, The Robare Group ($177M in AUM) finally argued its Form ADV disclosure enforcement case before appellate judges Jan. 23 (IA Watch, No...
1/17/2019 | Content area: Investment Adviser
IA Watch has obtained a copy of an Excel file demonstrating the trade blotter format OCIE would like firms to submit during an SEC exam.   The new for...
1/17/2019 | Content area: Investment Adviser
There’s RAUM and AUM and now, at the risk of drowning in acronym soup, AUA. They all add up to ways to measure the size of your advisory business.   S...
© 2019 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US