Clarity and Understanding for the Workplace

Brightline Solutions™

Brightline Solutions™ offers a clear, clean, easily-navigable approach to meet daily compliance needs within the financial services industry.

Investment advisers are constantly on the lookout for new solutions to tackle the multitude of challenges, questions and concerns that Compliance Departments face on a daily basis.

Brightline Solutions™ has taken a fresh approach to meet these daily challenges by putting all the pieces of the puzzle together in an easily-navigable format, presenting all the ideas, references, and backup material in one place. As you navigate between rules, releases, guidance, no-action letters, and enforcement cases, along with risks, testing and disclosure requirements – all in one place – a much clearer picture emerges. These puzzle pieces come together to offer you Brightline Solutions™ relational regulatory database - the IA Act Unwrapped™ – which address your daily, weekly, monthly and annual compliance concerns.

The Brightline Solutions™ Approach

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A "bright-line rule" is a clearly defined rule or standard, leaving little room for interpretation in an effort to produce predictable and consistent results.

Brightline Solutions™ uses this same predictable, consistent approach as we create the ideal products for the financial services industry. We clearly align research, archiving, data-mapping, programming and design, alongside an unparalleled standard of excellence, to offer products that you can easily use to enhance the clarity and understanding of your daily tasks. We have created products unlike any ever seen in the industry, and have elevated compliance to a new level of sophistication.

Headline News

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Former Detroit Officials & Adviser to City Pension Funds Charged
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Investment Adviser Oversight Act
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Updates

Brightline Solutions updates information in IA Act UnwrappedTM on a daily basis.  Click HERE to view recent updates.

IA-3406 In the Matter of Copeland Wealth Management

IA-3405
In the Matter of Belal K. Faruki

LR-22371 SEC v. Mark F. Spangler, et al
SEC v. Mark F. Spangler, et al
(civil case)

New SEC Form ADV & IARD FAQs
New Q&As added to the IA Act UnwrappedTM Regulatory Database: Disclosure, Testing and No-Action Tabs under Registration Rules 203-1 - 203-3; Q&As regarding Special Purpose Entities (SPEs) added to Disclosure and No-Action Tabs under Rules 203(l)-1 and 203(m)-1; new Q&As added to Description Tab under Rule 204-1

Special Considerations for Hedge Fund Advisers
Information regarding fees/expenses, conflicts of interest, and risk management added to the IA Act UnwrappedTM Regulatory Database Risks Tab under Rule 204(b)-1

What SEC Registration Means for Hedge Fund Advisers
Speech by OCIE Deputy Director Norm Champ

Added to the IA Act UnwrappedTM Examination Tools Database

IA-3404 In the Matter of Martin Currie Inc., et al
Significant violations, particularly in the identification and management of conflicts of interest
Added to the IA Act UnwrappedTM Releases Database and to Significant Cases under Rule 206(4)-7

IA-3403 Technical Amendment to Rule 206(4)-5: Political Contributions by Certain Investment Advisers
Final Rule Release - Technical amendment to the definition of “covered associate” in Advisers Act Rule 206(4)-5(f)(2)(i) to correct an inadvertent error in the Rule as published in Release No. IA-3221 on July 19, 2011.
The amendment to Rule 206(4)-5 is reflected in the IA Act UnwrappedTM Regulatory Database

LR-22362 SEC v. Kwame M. Kilpatrick, et al
Civil Action 12-CV-12109

LR-22356 SEC v. A.L. Waters Capital, LLC, et al

SEC Form 2866 - Supplemental Information for Persons Requested to Supply Information Voluntarily to the Commission’s Examination Staff
Added to the IA Act UnwrappedTM Examination Tools Database

SEC Speech
Carlo diFlorio - Address at the Private Equity International Private Fund Compliance Forum
Added to the IA Act UnwrappedTM Examination Tools Database

LR-22355 SEC v. Michael Lauer

LR-22353 SEC v. RKC Capital Management, LLC, et al

LR-22349 SEC v. Locke Capital Management, Inc. and Leila C. Jenkins

IA-3402 In the Matter of Edward D. Puttick, Sr.

IA-3401 In the Matter of Terry Harris

IA-3400 Regulatory Flexibility Agenda

SEC v. Garth R. Peterson

ID-457
In the Matter of Montford and Company, Inc., and Ernest V. Montford, Sr.
Added to IA Act UnwrappedTM Enforcement Case Database and to Significant Cases under Rule 204-1

IA-3399 In the Matter of GMB Capital Management LLC, et al
Added to IA Act UnwrappedTM Releases Database and to Significant Cases under Rules 204-2 and 206(4)-8