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

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

SEC Issues Stay for Administrative Proceedings in Light of Bandimere Decision
Stay effective immediately - ALJs directed to issue notices
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OCIE Issues “Cybersecurity: Ransomware Alert” regarding Widespread WannaCry Attack
Recent OCIE Exams Suggest Vulnerability in Some Firms
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New Appointments at the SEC
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Barclays to Pay $97 Million for Overcharging Clients
Misrepresented due diligence monitoring of third-party managers in wrap fee programs
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SEC Adopts Technical Amendments to Form ADV & Form ADV-W
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Updates

Brightline Solutions updates IA Act UnwrappedTM on a daily basis. Recent updates are listed below. Click HERE for a more detailed summary of the information.

LR-23845 SEC  v. William J. Wells and Promitor Capital Management LLC

LR-23843 SEC  v. Francisco Illarramendi, et al

LR-23842 SEC v. Gustavo A. Guzman

IA-4708 In re: Pending Administrative Proceedings
Stay for Administrative Proceedings in Light of Bandimere v. SEC Decision

LR-23837 SEC  v. Murakami, et al.

IA-4707 In the Matter of William J. Wells

IA-4706 In the Matter of Christopher M. Gibson

Cybersecurity: Ransomware Alert  
OCIE National Exam Program Risk Alert

U.S. Dept. of Homeland Security Alert TA17-132A - Indicators Associated with WannaCry Ransomware
U.S. Computer Emergency Readiness Team (US-CERT)
Alerts added to the IA Act UnwrappedTM Examination Tools Database - 2017 Information

1112 Partners, LLC - Exemptive Request

LR-23834 SEC  v. Mohamud Abdi Ahmed and 2waytrading, LLC

IA-4705 In the Matter of Barclays Capital Inc.

IA-4704 In the Matter of Frederick Eugene Monroe, Jr.

IA-4703 In the Matter of James A. Winkelmann, Sr., and Blue Ocean Portfolios, LLC

IA-4698 Technical Amendments to Form ADV and Form ADV-W
FINAL RULE
- Effective July 1, 2017

IA-4701 In the Matter of Tellone Management Group, Inc. and Dean C. Tellone

IA-4700 In the Matter of PA Fund Management, LLC, PEA Capital, LLC and PA Distributors, LLC

IA-4699 In the Matter of PA Fund Management, LLC, et al

IA-4696 In the Matter of Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc.

IA-4695 In the Matter of William Blair & Company, LLC

LR-23922 SEC v. Mark J. Varacchi, et al.

IA-4691 In the Matter of Michael L. Silver

IA-4694 In the Matter ov Abida Khan

IA-4693 In the Matter of Yul L. Pinto Ayala

IA-4692 In the Matter of Bennett Group Financial Services, LLC and Dawn J. Bennett

IA-4690 & IA-4689 In the Matters of Christopher M. Gibson

IA-4688 In the Matter of Mark J. Varacchi

Form ADV and Investment Advisers Act Rules - A Small Entity Compliance Guide
SEC updated version added to the IA Act UnwrappedTM Examination Tools Database - 2017 Information

Umbrella Registration
Term has been added to the IA Act UnwrappedTM Glossary & Definitions Database