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

 
REGULATORY RELEASES - IM GUIDANCE
Title Date
Statement regarding staff proxy advisory letters 09/18/2018
Updates to Custody Rule FAQs 06/11/2018
Information Update for Advisers Filing Certain Form ADV Amendments 08/14/2017
Holding Companies and the Application of Rule 3a-2 under the Investment Company Act 03/16/2017
Robo-Advisers 02/23/2017
Inadvertent Custody: Advisory contract versus custodial contract authority 02/22/2017
Mutual Fund Fee Structures 01/03/2017
Staff Guidance Concerning Investment Adviser Reliance on Predecessor Registrations 11/21/2016
Business Continuity Planning for Registered Investment Companies 06/28/2016
Fast Act Changes Affecting Investment Advisers to Small Business Investment Companies 03/21/2016
Fund Disclosure Reflecting Risks Related to Current Market Conditions 03/09/2016
Mutual Fund Distribution and Sub-Accounting Fees 01/06/2016
Employees’ Securities Companies and Escheatment 10/01/2015
The personal trading exception within the code of ethics 06/26/2015
Cybersecurity Guidance from the SEC IM Division 2015 04/28/2015
Acceptance of Gifts or Entertainment by Fund Advisory Personnel 02/24/2015
Guidance Regarding Key Employee Trusts Under the Family Office Rule 12/22/2014
Guidance Regarding Business Development Companies-Transactions with Certain Second-Tier Affiliates 12/01/2014
Guidance Regarding Investment Company Consolidation 10/31/2014
Mixed and Shared Funding Orders 10/24/2014
Business Development Companies with Wholly-Owned SBIC Subsidiaries-Asset Coverage Requirements 06/01/2014
Guidance Regarding Mutual Fund Enhanced Disclosure 06/01/2014
Private Funds and the Application of the Custody Rule to Special Purpose Vehicles and Escrows 06/01/2014
Series Investment Companies: Affiliated Transactions 06/01/2014
Multi-manager funds – aggregate advisory fee rate 04/04/2014
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