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

 
LABOR DEPARTMENT - ERISA RELEASES
Title Date
18-Month Extension of Transition Period and Delay of Applicability Dates: Correction 12/07/2017
18-Month Extension of Transition Period and Delay of Applicability Dates; Best Interest Contract Exemption (PTE 2016-01) 11/27/2017
Extension of Transition Period and Delay of Applicability Dates; Best Interest Contract Exemption (PTE 2016-01) and more 08/30/2017
Request for Information Regarding the Fiduciary Rule and Prohibited Transaction Exemptions 07/06/2017
Definition of the Term “Fiduciary”; Conflict of Interest Rule – Retirement Investment Advice (60-day delay rule) 04/05/2017
Definition of the Term “Fiduciary”: Proposal to delay fiduciary duty rule 60 days 03/01/2017
Proposed Best Interest Contract Exemption for Insurance Intermediaries 01/19/2017
Best Interest Contract Exemption; Correction 07/11/2016
Class Exemption for Principal Transactions in Certain Assets Between Investment Advice Fiduciaries and Employee Benefit Plans and IRAs; Correction 07/11/2016
Definition of the Term “Fiduciary”; Conflict of Interest Rule – Retirement Investment Advice 04/06/2016
Best Interest Contract Exemption 04/06/2016
Amendments to Class Exemptions 75-1, 77-4, 80-83 and 83-1 04/06/2016
Amendment to and Partial Revocation of Prohibited Transaction Exemption (PTE) 86-128 for Securities Transactions Involving Employee Benefit Plans and Broker-Dealers 04/06/2016
Amendment to Prohibited Transaction Exemption (PTE) 75-1 04/06/2016
Amendment to and Partial Revocation of Prohibited Transaction Exemption (PTE) 84-24 04/06/2016
Class Exemption for Principal Transactions in Certain Assets between Investment Advice Fiduciaries and Employee Benefit Plans and IRAs 04/06/2016
Labor Department's Definition of the Term Fiduciary Proposal 04/14/2015
Proposed 408(b)(2) Fee Disclosure 03/12/2014
Rule 408(b)(2) Website Direct Rule 07/17/2012
Proposed Fee Disclosure Website 07/16/2012
Target Date Disclosure Extension 05/24/2012
Reasonable Contract: Fee Disclosure 02/03/2012
Prohibited Transaction Exemption Procedures 10/27/2011
Investment Advice — Participants and Beneficiaries 10/25/2011
Delay of Fee Disclosures to Fiduciaries 07/19/2011
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