IA Compliance: The Full 360° View East
March 21-23 | Washington, D.C.

IA Compliance: The Full 360° View Midwest
June 25 | Chicago, IL
Conquering Current Compliance Challenges
Mar. 7, 2018 | 2:00 - 2:30 PM EST

FinTech: What It Is and How Its Promise Will Affect You Going Forward
Mar. 27, 2018 | 2:00 - 3:00 PM EST
CLE/CPE Approved 
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: Feb. 7, 2018 
 
Your Complete Guide to the New Form ADV
Includes: 20 Best Practices, 6 Peer-tested Tools and a 60-minute Webinar 

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
2/15/2018 | Content area: Investment Adviser
The SEC’s FY 2019 budget request tackles a three years running flat budget and two-year hiring freeze in a bid to stay on top of the growing and ever-...
2/15/2018 | Content area: Investment Adviser
The whole culture changed at Phoenix’s Alpha Fiduciary ($401M in AUM) after the RIA settled an advertising enforcement action that held the firm “fail...
2/15/2018 | Content area: Investment Adviser
Among the plethora of changes you face in updating your new Form ADV, Part 1 you’ll find two items that zero in on your payment for client referrals. ...
2/15/2018 | Content area: Investment Adviser | Broker-Dealer
Deutsche Bank Securities will be reimbursing certain of its commercial mortgage-backed securities customers who overpaid for CMBS after being misled a...
2/15/2018 | Content area: Investment Adviser
Mark your calendar for Thursday, April 12th. That’s the day that OCIE and the Division of Investment Management set for their first compliance outreac...
2/12/2018 | Content area: Investment Adviser
For years the SEC has announced enforcement cases fining advisers for putting clients in higher fee mutual fund share classes without adequately discl...
2/08/2018 | Content area: Investment Adviser
Last month, the SEC’s regional office in Fort Worth, Texas, held a free dial-in call for registrants to share what’s hot on exams.   “We pioneered it ...
2/08/2018 | Content area: Investment Adviser
Checking references topped the list of responses when compliance officers were asked what they do before hiring a vendor – even if some question the e...
2/08/2018 | Content area: Investment Adviser
Depending upon what side of the case you sit on, Ken Sandhu is either obsessed with what he sees as an injustice or is a recidivist harasser who won’t...
2/08/2018 | Content area: Investment Adviser
An order appearing in the Feb. 8 Federal Register pushes the SEC’s current exemptive order for most of its security-based swap rules to Feb. 9, 2019. ...
2/07/2018 | Content area: Investment Adviser
The newest list of OCIE exam priorities resembles past ones in that many of the topics match what the agency put out last year. But the 2018 list diff...
2/01/2018 | Content area: Investment Adviser
Quick, what’s the closing line in Casablanca?   “Louis, I think this is the beginning of a beautiful friendship.”   That line also might make for a gr...
2/01/2018 | Content area: Investment Adviser
All this story’s missing is the screenwriter.   The real-life characters include a failed politician turned skillful fraudster. He heads to prison nex...
2/01/2018 | Content area: Investment Adviser
The client, a retired businessman in his 80s, had been with Morgan Stanley for decades before James Polese became his rep eight years ago. The client ...
2/01/2018 | Content area: Investment Adviser
In a first, the SEC has secured the appointment of a receiver in connection with an alleged fraudulent initial coin offering targeting retail investor...
2/01/2018 | Content area: Investment Adviser
Advocates holler that FinTech will drive the future of financial services. But first you have to define what it is.   The term “is vague and lacks a p...
1/25/2018 | Content area: Investment Adviser
If a material change occurs at your firm that triggers a prompt update of your Form ADV, be ready to encounter many more new questions earlier than yo...
1/25/2018 | Content area: Investment Adviser
The state’s clock on escheatment ticked for seven years. That time limit was just about to expire for an attorney who “got a tip” that his deceased fa...
1/25/2018 | Content area: Investment Adviser | CPO/CTA
Bitcoins and other cryptocurrencies may be all the rage but the SEC’s Division of Investment Management states to slow down.   Two advisers that sough...
1/25/2018 | Content area: Investment Adviser
When hard times pummeled AmericaFirst Capital Management ($93M in AUM) of Roseville, Calif., the adviser turned to its clients to keep it afloat. The ...
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