Conquering Current Compliance Challenges
June 12, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: May 15, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
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
3/08/2019 | Content area: Investment Adviser
Some advisers making large acquisitions could trigger federal notification requirements from the Federal Trade Commission and the Justice Department (...
2/28/2019 | Content area: Investment Adviser
Federal court in Boston will be the sparring ground over questions of whether Fidelity has violated ERISA by charging a secret fee to allow mutual fun...
2/28/2019 | Content area: Investment Adviser
A new SEC interim final rule turns the planned monthly Form N-Port reporting by mutual funds into quarterly reports. The Commission also relaxes the i...
2/28/2019 | Content area: Investment Adviser
The recent government shutdown resulted in the SEC operating with a bare bones staff only addressing emergencies involving market integrity, investor ...
2/28/2019 | Content area: Investment Adviser
Know that if you have clients between ages 70 and 79, they may be the ones most at risk for elderly financial abuse (IA Watch, Feb. 14, 2019).   This ...
2/21/2019 | Content area: Investment Adviser
A more complete look – at a year’s worth of Form ADV data – paints a clearer picture of the advisory industry. For instance, in sheer dollars managed,...
2/21/2019 | Content area: Investment Adviser
One peek at the calendar tells you the clock is ticking down to March 31, this year’s deadline for most advisers to update their Form ADV. Any shortcu...
2/21/2019 | Content area: Investment Adviser
It’s a sign of the industry’s ongoing struggle over the B-D commissions-based model vs. the fee-based IA approach that a 40-month jail term for a form...
2/21/2019 | Content area: Investment Adviser
The benefits of self-reporting to the SEC can be seen in the latest Commission enforcement action involving an unregistered initial coin offering. A W...
2/21/2019 | Content area: Investment Adviser
The SEC has officially increased its civil money penalties for Advisers Act and other violations, applying an inflation adjustment similar to what the...
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...
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