Clarity and Understanding for the Workplace


Compliance Training CAN be fun!

COMPLIANCE-OPOLY

for Investment Advisers

  • Move around the board landing on Advisers Act Rules
  • Answer Questions related to all aspects of compliance under the Advisers Act
  • Correct answers allow you to be paid Compliance Bucks
  • Purchase Investment Advisory Firms with your Compliance Bucks – others pay you rent!
  • Wrong answers result in Deficiencies
  • Too many Deficiencies get you sent to Enforcement - spend time in Jail with Bernie Madoff!

Compliance-Opoly for Investment Advisers
Score Card

See where additional compliance training may be necessary!

Headline News

Portfolio Manager Charged with Mispricing Fund Investments

Read more...

 

SEC Charges Fund Adviser and Principal for Fraudulently Overvaluing Assets
Overvaluing allowed firm to collect inflated fees
Read more...

SEC and NASAA Explain Application of Securities Laws to Opportunity Zone Investments
Read more...

Agencies Adopt Final Rule to Exclude Community Banks from the Volcker Rule

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-5305 In the Matter of Account Management, LLC, Christopher de Roetth and Peter de Rotth

IA-5304 In the Matter of Henry J. Wieniewitz, III

IA-5303 In the Matter of Swapnil Rege

IA-5296 Release Intentionally Omitted by SEC

LR-24539 SEC v. Paul Alar and West Mountain, LLC

IA-5302 In the Matter of Salus, LP et al.

LR-24533 SEC  v. Richard Vu Nguyen, et al.

Staff Statement on Opportunity Zones: Federal and State Securities Laws Considerations  
SEC and NASAA Explain Application of Securities Laws to Opportunity Zone Investments 
Added to the IA Act UnwrappedTM Examination Tools Database/2019 Information

IA-5301 In the Matter of Hana Woosuk Byum

IA-5300 In the Matter of The Robare Group, Ltd., Mark L. Robare, and Jack L. Jones, Jr.

IA-5299 In the Matter of Kwen Y. Chun

IA-5298 In the Matter of Jeffrey Gainer

IA-5297 In the Matter of Rosalind Herman

IA-5295 In the Matter of Kimm C. Hannan

IA-5294 In the Matter of Michael Szafranski

IA-5290 In the Matter of Moshe Marc Cohen

Regulation Best Interest and the Investment Adviser Fiduciary Duty - Two Strong Standards that Protect and Provide Choice for Main Street Investors
Speech by Chairman Jay Clayton, Boston, Massachusetts (July 8, 2019)
Added to the IA Act UnwrappedTM Examination Tools Database/2019 Information and linked to the Plain English Description Tab under Regulatory Database rule 203-1 and new rule 204-5