Conquering Current Compliance Challenges
Nov. 14, 2018 | 2:00 - 2:30 PM EST

Ethics: The Compliance Officer’s Role in Encouraging Your Firm
to Do the Right Thing

Oct. 23, 2018 | 2:00 - 3:00 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: October 10, 2018 
 
HANDBOOKS
  Includes: 9 Best Practices, 3 Proposed Disclosure Mockups
and a 60-minute Audio Webinar

The Adviser's Guide to SEC Advertising and Marketing Rules
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 NEWS & GUIDANCE
10/11/2018 | Content area: Investment Adviser
Two assurances can be pulled from the SEC’s use of administrative law judges four months after the nation’s highest court struck down the system as un...
10/11/2018 | Content area: Investment Adviser
To Sam Edwards, it takes few words to explain how Dallas-based WFG Advisors perished after 15 years, landing in bankruptcy court where former clients ...
10/11/2018 | Content area: Investment Adviser
The SEC believes ETFs have matured to where they deserve their own rules rather than a patchwork of hundreds of instances of staff-issued guidance rel...
10/11/2018 | Content area: Investment Adviser
SEC Commissioner Hester Peirce is clearly a fan of new approaches to investor-friendly disclosure. But she’s not thrilled with the Commission’s propos...
10/11/2018 | Content area: Investment Adviser
The SEC has made no secret of its intent to focus on “Main Street investors.” The agency’s new Strategic Plan for 2018-2022 is the latest place where ...
10/04/2018 | Content area: Investment Adviser
The SEC’s Division of Investment Management is revisiting the prohibition on the use of testimonials as part of its broader effort to consider recomme...
10/04/2018 | Content area: Investment Adviser
One of the top methods firms use to help ensure they’re exam-ready is to hire a vendor to conduct a mock exam (IA Watch, Aug. 21, 2014).   “We do that...
9/27/2018 | Content area: Investment Adviser
The SEC has settled with Voya Financial Advisors ($14.4B in AUM), citing the dual registrant’s poor cybersecurity controls in a case replete with less...
9/27/2018 | Content area: Investment Adviser
When the worst of Hurricane Florence was lashing Wilmington, N.C., Vinton Fountain huddled with his family in the safest part of their house, terroriz...
9/27/2018 | Content area: Investment Adviser
Pour your trade blotter into Excel and you can knock out a series of quick compliance tests. You could examine for brokerage allocations, eye personal...
9/27/2018 | Content area: Investment Adviser
The end of September represents the end of the SEC’s 2018 fiscal year and the inevitable analysis of its Enforcement Division’s statistics. But the di...
9/26/2018 | Content area: Investment Adviser
Even the commenters on the SEC’s proposed whistleblower rule revisions seek anonymity (IA Watch, July 5, 2018). Forty percent of the 102 comments the ...
9/25/2018 | Content area: Investment Adviser
According to its newly-published IRS-990 form, the Investment Adviser Association’s revenues in 2017 grew 6.4% over the previous year. At the same tim...
9/20/2018 | Content area: Investment Adviser
No one’s surprised to learn that OCIE will check to see if an adviser is charging proper fees. What might astonish is that a lot of clients are enjoyi...
9/20/2018 | Content area: Investment Adviser
If your firm pays a radio station to run an ad, you better tune in.   That’s one lesson from the SEC enforcement action against Creative Planning ($36...
9/20/2018 | Content area: Investment Adviser
It wasn’t the first time that an SEC chairman has reminded the world that only commissioners can make rules, not SEC staffers, but Jay Clayton’s state...
9/20/2018 | Content area: Investment Adviser
The SEC needs to go back to the drawing board and revise and retest the content, language, and format of its proposed Customer Relationship Summary fo...
9/13/2018 | Content area: Investment Adviser
If you manage a mutual fund, get ready. IA Watch has learned that OCIE has launched an initiative probing advisers of registered funds – and asking lo...
9/13/2018 | Content area: Investment Adviser
Some two weeks after a new group urged the Commission to tamp down on the administrative state (IA Watch, Aug. 30, 2018), SEC Chairman Jay Clayton has...
9/13/2018 | Content area: Investment Adviser
We’ve told you before about Stephanie Drescher’s $1,000 contribution to the presidential campaign of Ohio Governor John Kasich (IA Watch, March 29, 20...
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