IA Compliance: The Full 360° View East 
March 7-8, 2019 | Washington, D.C.

UPCOMING WEBINARS

Conquering Current Compliance Challenges
Feb. 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: January 16, 2019 
  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
5/17/2018 | Content area: Investment Adviser
Thanks to the Financial Action Task Force’s 40 recommendations for how to attack anti-money laundering, you can find great similarities in the approac...
5/17/2018 | Content area: Investment Adviser
A “balanced approach” to initial coin offerings is being pursued by the SEC’s Division of Enforcement and across the Commission, reported Steven Peiki...
5/10/2018 | Content area: Investment Adviser
May 9's Federal Register contains the three SEC proposals tied to fiduciary duty. Each of them carries the same deadline for your comments: Tuesday, A...
5/10/2018 | Content area: Investment Adviser
The same day a federal court decision vacating the Labor Department’s fiduciary duty rule was due to take effect, the DOL released a statement continu...
5/10/2018 | Content area: Investment Adviser
You need look no farther than OCIE’s latest risk alert to recognize that what and how you charge your clients remains high on your regulator’s list (I...
5/10/2018 | Content area: Investment Adviser
Mergers are common among investment advisers and the SEC’s Division of Investment Management has just made clear that an adviser that combines with a ...
5/10/2018 | Content area: Investment Adviser
The number of state-registered investment advisers and SEC notice-filed IAs have increased in 2017-2018, according to the first-ever annual report sna...
5/03/2018 | Content area: Investment Adviser
Only a small percentage of CCOs are compensated or employed by a firm different from the RIA they work at, according to new Form ADV data obtained by ...
5/03/2018 | Content area: Investment Adviser
While The Robare Group’s enforcement case remains unresolved, the SEC isn’t giving up on the contention that the use of the word ‘may’ in describing t...
5/03/2018 | Content area: Investment Adviser
One of the challenges facing the industry and investors is “there are too many regulatory ‘cooks in the kitchen,’” according to SEC Chairman Jay Clayt...
5/03/2018 | Content area: Investment Adviser
You may want to bookmark the SEC’s new webpage to look up persons subject to agency enforcement actions.   The site was created for investors but advi...
5/02/2018 | Content area: Investment Adviser
If your firm endured an OCIE exam that raised questions about whether clients received the lowest cost mutual fund share class, you can still qualify ...
4/26/2018 | Content area: Investment Adviser
An advantage found in the SEC’s proposed interpretation of the IA fiduciary duty is that the legal concept now gets brushed together all in one place ...
4/26/2018 | Content area: Investment Adviser
Four pages may seem incredibly short when you have to stuff it with reams of data and required language while keeping it “easy to read” and in a font ...
4/26/2018 | Content area: Investment Adviser
Last week, we listed what actions an RIA must take when moving from state registration to SEC registration (IA Watch, April 19, 2018). Our series conc...
4/26/2018 | Content area: Investment Adviser
It isn’t often that a government attorney appears before the Supreme Court to argue against a federal law. But that’s what happened April 23 as oral a...
4/26/2018 | Content area: Investment Adviser
Raymond Trapani surely saw the writing on the wall. Two of his co-founders of Centra Tech—a company that conducted a $32 million initial coining offer...
4/19/2018 | Content area: Investment Adviser
IA Watch has learned that a host of advisers has received letters from the SEC asking them to explain why they haven’t filed Form PF. Negotiations are...
4/19/2018 | Content area: Investment Adviser
Case law issued over decades defines what fiduciary duty means for investment advisers. But the SEC’s 38-page proposed interpretation would seek to ma...
4/19/2018 | Content area: Investment Adviser
Call it a customer relationship summary. That’s the new form that the Commission has proposed designed to help retail investors differentiate between ...
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