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

OCIE Issues New Risk Alert
Safeguarding Customer Records and Information in Network Storage and the Use of Third-Party Security Features
Read more...

Cherry-Picking and Soft Dollar Violations
Read more...

Aderton Named Co-Chief of the Asset Management Unit
Specialized Unit Focuses on Misconduct by IAs, ICs and Private Funds
Read more...

SEC Staff Announces Agenda for May 31 FinTech Forum
Read more...

OCIE Issues Risk Alert Highlighting Compliance Issues Related to Reg S-P
Read more...

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.

IA-5241 In the Matter of Robert Kenneth Lindell, Jr.

Safeguarding Customer Records and Information in Network Storage –  Use of Third Party Security Features
OCIE Risk Alert added to the IA Act UnwrappedTM Examination Tools Database/2019 Information

IA-5240 In the Matter of Lawrence E. Penn, III

IA-5239 In the Matter of Brian Michael Berger

IA-5238 In the Matter of GL Capital Partners, LLC and GL Investment Services, LLC
Corrected Notice that Initial Decision has become final

IA-5237 Release Intentionally Omitted by SEC

IA-5236 In the Matter of J.S. Oliver Capital Mangement, L.P., and Ian O. Mausner
Added to the IA Act UnwrappedTM Risks/Significant Cases Tabs under Regulatory Database Rules 204-1, 204-2, 206(4)-7 & 206(4)-8 and linked to the terms "cherry-picking" and "soft dollars" in the Glossary & Definitions Database

IA-5235 In the Matter of NeoCap, LLC

IA-5234 In the Matter of Oscar Ferrer Rivera

IA-5233 In the Matter of Jonathan A. Rivera-Padilla

IA-5232 In the Matter of Jeffrey Francis Thompson

IA-5231 In the Matter of Bryan Lee Addington

IA-5230 In the Matter of Ascension Asset Management, LLC and Grenville M. Gooder, Jr.

IA-5229 In the Matter of Corinthian Capital Group, LLC, Peter B. Van Raalte, and David G. Tahan

How We Protect Retail Investors
Speech by OCIE Director Peter Driscoll
Added to the IA Act UnwrappedTM Examination Tools Database - 2019 Information

IA-5228 In the Matter of Paul Peter Gierten

LR-24461 SEC v. Christopher D. Dogherty et al

IA-5226 In the Matter of Charter Capital Management, LLC and Steven Morris Bruce

LR-24458 SEC v. Eric D. Lyons, et al.

IA-5225 In the Matter of Charles Myrick Winstead

LR-24455 SEC v. Motty Mizrahi et al.

IA-5224 In the Matter of Matthew R. Rossi and SJL Capital, LLC

IA & BD Compliance Issues Related to Regulation S-P - Privacy Notices and Safeguard Policies 
OCIE Risk Alert (April 16, 2019) 
Added to the IA Act UnwrappedTM Examination Tools Database/2019 Information

IA-5223 In the Matter of Stanley S. Bae

SECret Garden 
Commissioner Hester M. Peirce at SEC Speaks 2019
Important Issues for Investors in 2019 
Rick Fleming, Investor Advocate at SEC Speaks 2019
Remarks have been added to the IA Act UnwrappedTM Examination Tools Database/2019 Information