IA Compliance: The Full 360° View Midwest
June 25 | Chicago, IL

Commitment to Compliance
September 17 | Philadelphia
Conquering Current Compliance Challenges
July 11, 2018 | 2:00 - 2:30 PM EST

Compliance Best Practices for Busy IA CCOs
July 17, 2018 | 2:00 - 3:00 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 20, 2018 
 
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

Your Complete Guide to the New Form ADV
Includes: 20 Best Practices, 6 Peer-tested Tools and a 60-minute Webinar 

 
INVESTMENT ADVISER NEWS & GUIDANCE
6/22/2018 | Content area: Investment Adviser
U.S.-based advisers that sell into the EU could be excused if they’re still perplexed by what the General Data Protection Regulation means to them one...
6/21/2018 | Content area: Investment Adviser
Contrast the fanfare the SEC trumpeted when it announced its mutual fund share class initiative in February with the whimper the agency blurted out wh...
6/21/2018 | Content area: Investment Adviser
Few parts of the country spar with hurricanes like southeastern Texas. But last year’s Hurricane Harvey slammed Houston and surrounding areas with a r...
6/21/2018 | Content area: Investment Adviser
At this stage, the SEC’s only asking what you think about requiring investment advisers to be licensed or to put up a bond, akin to what broker-dealer...
6/21/2018 | Content area: Investment Adviser
It could not have been an easy e-mail to write for Crawford Lake Capital Management ($679M in AUM). The Lakewood, N.J.-based adviser recently e-mailed...
6/21/2018 | Content area: Investment Adviser
Family offices can avoid SEC registration provided they stay within the confines of Advisers Act rule 202(a)(11)(G)-1 (family offices). This means the...
6/21/2018 | Content area: Investment Adviser
As Congress debates whether the SEC should have more than a five-year statute of limitations to bring enforcement actions, New York’s highest court ha...
6/14/2018 | Content area: Investment Adviser
Reports have persisted for months that the SEC would follow up its 2017 custody guidance to address the issue of “inadvertent custody” granted to advi...
6/14/2018 | Content area: Investment Adviser
With only days to go before the nation’s highest court rules in an IA enforcement case challenging the SEC’s use of administrative law judges, lawmake...
6/14/2018 | Content area: Investment Adviser
Not long after Washington streets cleared of fans celebrating their hockey team winning the cherished Stanley Cup, a much smaller group of advisers he...
6/08/2018 | Content area: Investment Adviser
Many of your experienced peers say the growing complexity of business arrangements makes uncovering conflicts of interest a stubborn challenge.   As w...
6/08/2018 | Content area: Investment Adviser
No one questions that the number of OCIE exams of advisers is increasing, and even more may occur should SEC Chairman Jay Clayton coax more funding ou...
6/08/2018 | Content area: Investment Adviser
The Specialized Information Publishers Association bestowed two awards on IA Watch June 6. We won a second place award for Best Spot News for a story ...
6/08/2018 | Content area: Investment Adviser
First FINRA created the ability of a broker to stop a money transfer if it suspects senior fraud (BD Watch, Jan. 4, 2018). Now the SEC’s Division of I...
6/08/2018 | Content area: Investment Adviser
There’s no mistaking that failures to disclose conflicts of interest tied to compensation are a focus of both SEC examiners and Enforcement. New York-...
6/08/2018 | Content area: Investment Adviser
One view holds that the complex and costly Volcker rule must be changed to more easily permit hedging and market making. The second view fears looseni...
5/31/2018 | Content area: Investment Adviser
Bluestone Capital Management ($3.1B in AUM) in Wayne, Pa., reported in its latest Form ADV filing that its CCO gets paid by other sources. A closer lo...
5/31/2018 | Content area: Investment Adviser
Now that the Federal Reserve has approved a 373-page proposal to revise the Volcker rule, fellow regulators – including the SEC and the CFTC – are due...
5/31/2018 | Content area: Investment Adviser
With clear signs that the SEC will reverse itself on its mutual fund liquidity disclosure rule (IA Watch, May 24, 2018), predictions are also being ma...
5/31/2018 | Content area: Investment Adviser
What punishment would you mete out to staff who ignored your firm’s trading policies? A new SEC OIG report to Congress shows the Commission suspended...
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