Compliance News

August Newsletter

September 14, 2018

In this issue:

Positive Word of Mouth Gives Firms a Leg Up on the Competition: 1

Testimonial Rule Is Alive and Well for Now: 2

CDD Refresher: 5

Upcoming Events: 7

August 15, 2018

In this issue:

CCOs Juggle Numerous Responsibilities at Advisory Firms: 1

Lessons Learned from Investment Adviser Association Testing Survey: 2

New ETF Rule Changes Proposed to Enhance Competition: 5

Private Placements Sales Spike: 6

Upcoming Events: 8

July 16, 2018

In this issue:

Changes in SEC’s Philosophy Should Not Alter Your Approach to Compliance: 1

SEC’S New Enforcement Philosophy Won’t Protect Advisers from Compliance Violations: 2

My PCAOB Audit Costs What?: 5

Guest Column: 6

June 15, 2018

In this issue:

There’s No Way to Put a Positive Spin on
Noncompliance: 1

Risk Alert Provides Overview of the Most
Frequent Advisory Fee and Expense
Compliance Issues: 2

FINRA Proposes an Enlightened Approach to
Outside Business Activities and Private
Securities Transactions – Rule 3290: 4

Guest Column : 7

May 30, 2018

In the March 2018 edition of our newsletter, we discuss social media.