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
9/06/2018 | Content area: Investment Adviser
Thanks to a roaring stock market, SEC-registered investment advisers collectively manage more than $82 trillion in assets – a 16% gain over the previo...
9/06/2018 | Content area: Investment Adviser
The Investment Advisers Act calls for you to be informed when your firm’s code of ethics is violated. What you do from there can be a challenge.   Con...
9/06/2018 | Content area: Investment Adviser
That old phrase “the left hand doesn’t know what the right hand is doing” comes to mind given that an advisory firm has just settled an enforcement ac...
9/06/2018 | Content area: Investment Adviser
The Senate has confirmed President Trump’s choice to be the fifth SEC commissioner. Elad Roisman, once sworn in, would replace Republican Commissioner...
9/06/2018 | Content area: Investment Adviser
An industry bar imposed by the SEC on Walter Grenda back in 2015 apparently did little to deter the long time investment adviser. In a complaint filed...
9/06/2018 | Content area: Investment Adviser
The SEC, along with four other federal financial regulatory agencies, has determined to extend by 30 days the comment period for a proposed rule to si...
8/30/2018 | Content area: Investment Adviser
A spate of enforcement actions lately has highlighted the compliance risks around securities lending, with the $1.6 billion fine against Deutsche Bank...
8/30/2018 | Content area: Investment Adviser
Those who decry the SEC for so-called regulation through enforcement may have found a new ally.   The newly-formed group New Civil Liberties Alliance ...
8/30/2018 | Content area: Investment Adviser
Once again, evidence emerges of the heavy cost of not listening to concerns raised by compliance staff.   When a compliance official at Aegon USA Inve...
8/30/2018 | Content area: Investment Adviser | Broker-Dealer
After a six-city tour of investor roundtables concerning the SEC’s standards of conduct for investment professionals rulemaking it’s clear to Commissi...
8/30/2018 | Content area: Investment Adviser
The other shoe has now dropped in connection with Legg Mason’s involvement in a scheme dating back to 2004 to bribe Libyan government officials to sec...
8/23/2018 | Content area: Investment Adviser
Whatever your commute looks like, consider what Vince Cuticello faces. He’s the CCO for one advisory firm in New York and another in Southern Californ...
8/23/2018 | Content area: Investment Adviser
BKS Advisors had a compliance manual that included a “Block Order Allocation” policy aimed at preventing unfair trade allocations.  But that policy di...
8/23/2018 | Content area: Investment Adviser
Cross trading practices inconsistent with its compliance P&Ps, regulatory compliance manual and Forms ADV have yielded SEC charges against a New York-...
8/23/2018 | Content area: Investment Adviser
The expectation from brochures provided to clients and Forms ADV filed with the SEC was that Merrill Lynch would use “disclosed investment quality sta...
8/16/2018 | Content area: Investment Adviser
Jeffrey Davis, an Ameriprise rep based in Virginia, notified the dual registrant of the name of his outside business. Later, when Davis fraudulently s...
8/16/2018 | Content area: Investment Adviser
May you never have to answer this question: Must we disclose a disciplinary event in our Form ADV brochure and distribute the document to our clients?...
8/16/2018 | Content area: Investment Adviser
A new settlement with an adviser first caught up in an OCIE sweep exam launched four years ago looking at wrap fee programs attests to the need for sp...
8/16/2018 | Content area: Investment Adviser
As SEC commissioners consider what to do next about their fiduciary duty proposals, supporters for a best interest standard may have a new poster boy....
8/09/2018 | Content area: Investment Adviser
Now that the SEC has feedback on its three fiduciary duty-related proposals, the challenge for commissioners will be to take in all of the diverging v...
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