Conquering Current Compliance Challenges
May 15, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: April 10, 2019 
  Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
BREAKING NEWS
OCIE urges you to revisit privacy policies in second risk alert of 2019
4/16/2019

With cybersecurity as hot as a black hole, it’s no surprise that OCIE wants advisers to take a new look at their cybersecurity P&Ps as well as how the...

TOP STORIES
IA
4/18/2019
Today’s advisers play in a whole different media landscape than their predecessors.   Take Blackrock Financial Management ($833B in AUM) in New York. ...
CPO/CTA
4/18/2019
CPOs examined by NFA staff beginning this month can expect to be asked about what they’ve done to comply with the SRO’s new internal controls notice. ...
PF
4/18/2019
If Matthew Rossi’s hedge fund venture were a star it would have streaked across the sky in a moment of awe – before crashing ingloriously.   The 50-ye...
Latest News
4/18/2019 | Content areas: Investment Adviser

The 59-year-old books and records rule may be showing its age but that’s not stopping advisers from plugging into modern means of communications for w...

4/18/2019 | Content areas: Investment Adviser

It sure looks like 34-year-old Nikesh Patel won’t be going anywhere anytime soon. The U.S. Court of Appeals for the 7th Circuit in Chicago April 16 af...

4/18/2019 | Content areas: Investment Adviser

The SEC’s Director of the Division of Investment Management Dalia Blass has signaled that developments on improvements to the proxy advisory process c...

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