Conquering Current Compliance Challenges
Nov. 13, 2019 | 2:00 - 2:30 PM EST

Ideas to Infuse your Firm’s Culture with a Heightened
Sense of Ethics

Oct. 15, 2019 | 2:00 - 3:00 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: Sept. 11, 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
10/10/2019
The adviser sought to send a wire request to a client’s custodian asking for $150,000 to be transferred to the client’s bank account. Everything seeme...
BD
10/10/2019
FINRA Oct. 8 made available resources to assist firms in complying with the SEC’s Regulation Best Interest and Form CRS by the June 30, 2020 complianc...
CPO/CTA
10/10/2019
A unique donnybrook is playing out in federal court that pits a federal judge against the CFTC over claims the Commission violated the judge’s confide...
Latest News
10/10/2019 | Content areas: Investment Adviser

The Oct. 3 e-mail from Clear Rock Advisors ($233M in AUM) in Austin, Texas, reads very familiar. The firm admitted that its e-mail system “was comprom...

10/10/2019 | Content areas: Investment Adviser

Every eight seconds, another American turns 65 years old. As the baby boom gives way to the silver tsunami, investment advisers and broker-dealers wil...

10/10/2019 | Content areas: Investment Adviser

The SEC announced Oct. 9 more than 20 asset management professionals who will advise the Commission on industry issues via the newly created Asset Man...

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