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

Private Equity Firm Charged with Compliance Failures

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SEC Shuts Down Fraudulent IA Targeting Senior Citizens

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SEC Charges IA with Custody Rule and Related Violations

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SEC Charges Companies and CEO for Misleading COVID-19 Claims
SEC Divisions and Offices Post COVID-19 Related Information Online

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Morgan Stanley Smith Barney Charged with Providing Misleading Information to Retail Clients

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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.

IA-5512 In the Matter of Oxbow Advisors, LLC

IA-5511 In the Matter of Syed Arham Arbab

IA-5510 In the Matter of Ares Management, LLC

IA-5503 In the Matter of Wallace Byers

IA-5509 In the Matter of William Andrew Hightower

LR-24822 SEC v. Paul Horton Smith, Sr.; Northstar Communications, LLC; Planning Services, Inc.; and eGate, LLC

IA-5508 In the Matter of TSP Capital Management Group, LLC
Added to the IA Act UnwrappedTM Releases Database and Regulatory Database Rule 206(4)-2 Risks/Significant Cases Tab

IA-5507 In the Matter of Barton W. Stuck

IA-5506 Notice of Intention to Cancel Registration of McDaniel Investments, LLC

IA-5505 In the Matter of Edmunds Private Capital, LLC

IA-5504 Notice of Intention to Cancel Registration of Strategic Options, LLC

Keynote Address: Securities Enforcement Forum West 2020
Steven Peikin - Co-Director, Division of Enforcement (May 12, 2020)
Including: COVID-19 Enforcement Matters & Ongoing Non-COVID-19 Work
Added to the IA Act UnwrappedTM Examination Tools Database/2020 Information

LR-24817 SEC v. Ambassador Advisors, LLC, et al

IA-5500 In the Matter of Justin N. Deckert
IA-5502 In the Matter of Travis Laska
IA-5501 In the Matter of Stacy L. Beane

LR-24815 SEC v. TCA Fund Management Group Corp. and TCA Global Credit Fund GP, Ltd.

IA-5499 In the Matter of Morgan Stanley Smith Barney LLC
Added to the IA Act UnwrappedTM Releases Database and linked to the term "wrap fee program" in the Glossary & Definitions Database

IA-5498 In the Matter of Lawrence E. Hagedorn

IA-5497 In the Matter of Barry R. Bekkedam

IA-5496 In the Matter of D.B. Fitzpatrick & Co., Inc.
Added to the IA Act UnwrappedTM Releases Database and to the No-Action/Exemptive Release Tab under Regulatory Database Rule 206(4)-5, Pay to Play