Conquering Current Compliance Challenges
April 10, 2019 | 2:00 - 2:30 PM EST

Real-Life Lessons Learned from Peers Who’ve Had to Implement their BCPs
April 16, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: March 13, 2019 
  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
11/09/2018 | Content area: Investment Adviser
When does a fiduciary become a fiduciary? That question is at the essence of a lawsuit in Kentucky that could be thrown out before it gets anywhere or...
11/09/2018 | Content area: Investment Adviser
If you’re an adviser to a mutual fund that wishes to begin using swing pricing when the SEC’s rules take effect Nov. 19, remember you must have releva...
11/09/2018 | Content area: Investment Adviser
How much would you pay to gain new clients? Some advisers are paying solicitors a handsome chunk of change.   “Solicitors will receive ongoing compens...
11/06/2018 | Content area: Investment Adviser
The number of enforcement actions against investment advisers and investment companies in FY 2018 jumped 32% – from 82 to 108, according to the SEC Di...
11/01/2018 | Content area: Investment Adviser | Private Fund
Within days of an SEC action against Yorkville Advisors in 2012, the defendants filed a furious response, calling the claim of fraud “baseless,” “an e...
11/01/2018 | Content area: Investment Adviser
Concerns about the current volume, format and content of variable contract disclosures have led the SEC to propose a new “layered” disclosure approach...
11/01/2018 | Content area: Investment Adviser
Anyone with internet access has gotten them – advertisements via e-mail.   Most modern business enterprises turn to e-mail to advertise, including adv...
11/01/2018 | Content area: Investment Adviser
Just as you can’t yell “fire” in a crowded, smoke-free theatre, you apparently can’t pester the SEC with your concerns about market oversight.   The N...
10/31/2018 | Content area: Investment Adviser
It’s difficult to confuse the plain dictates of the cash solicitation rule, Advisers Act rule 206(4)-3, yet it seems some advisers have done just that...
10/25/2018 | Content area: Investment Adviser
To preserve or to destroy. That is the question when it comes to adviser business records.   Of course, Advisers Act rule 204-2 (books and records) su...
10/25/2018 | Content area: Investment Adviser
Consider custody the gift that keeps on giving. The latest twist of the screw comes from Pennsylvania, where state securities officials last month rel...
10/18/2018 | Content area: Investment Adviser
Agreement over a uniform fiduciary duty standard is as rare as snow in October but one consensus seems to be that the industry has adopted new steps t...
10/18/2018 | Content area: Investment Adviser
Query Webster’s and you find a “fiduciary” defined as “one who acts ... in a fiduciary capacity.”   The adjective offers more help: “involving a confi...
10/18/2018 | Content area: Investment Adviser
We’ve told you before of James Winkelmann and his St. Louis-based advisory firm, Blue Ocean Portfolios (IA Watch, March 23, 2017). He had the misfortu...
10/18/2018 | Content area: Investment Adviser
A new “no-action” letter from the SEC’s Division of Investment Management permits mutual fund boards to hand off to their CCOs the job of confirming e...
10/18/2018 | Content area: Investment Adviser
A new report by the SEC details public companies targeted by cyber scammers, serving as a wake-up call for the industry. Of the nine companies eyed by...
10/18/2018 | Content area: Investment Adviser
A focus on cryptocurrency offerings has been a major driver in pushing state enforcement actions against unregistered firms and individuals to new hei...
10/18/2018 | Content area: Investment Adviser
While there’s not an official rule proposal yet, New Jersey Oct. 15 announced a comment period (ending Dec. 14th) for a possible fiduciary duty standa...
10/18/2018 | Content area: Investment Adviser
SEC Commissioner Kara Stein’s tenure is set to expire at year-end, which means she likely won’t be in office when the Commission takes up its trio of ...
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...
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