Conquering Current Compliance Challenges
Sept. 11, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 12, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
TOP STORIES
IA
8/15/2019
Ed Butowsky has a lot going on.   Since 2005, he has run Chapwood Capital Investment Management ($191M in AUM) in Plano, Texas, with little fanfare. B...
IA
8/15/2019
It’s happened again. The SEC Aug. 13 settled an enforcement action – this time against an exempt-reporting adviser – for failing to disclose conflicts...
BD
8/15/2019
In a potentially worrisome case for compliance officers, the SEC found that the former CCO of Merrimac Corporate Securities had violated FINRA rules b...
Latest News
8/15/2019 | Content areas: Investment Adviser

Our recap of recent SEC exam activity includes three new document request letters obtained by RCW (IA Watch, Aug. 1, 2019).   The first exam letter di...

8/15/2019 | Content areas: Investment Adviser

SEC Commissioner Hester Peirce would like to see “more focused momentum” at the Commission toward finalizing the regulatory regime for digital assets....

8/15/2019 | Content areas: Investment Adviser | Broker-Dealer

The SEC Aug. 15 released a series of videos aimed at educating retail investors on the differences between investment advisers and broker-dealers in a...

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