Conquering Current Compliance Challenges
July 10, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
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

 
TOP STORIES
IA
6/13/2019
Commissioner approval of rules and interpretations tied to fiduciary duty represented a “culmination of decades of work,” noted Barbara Gunn, assistan...
IA
6/13/2019
While advisers must demonstrate a duty of care and loyalty and seek best execution on behalf of their clients, RIAs can carve their fiduciary duty obl...
BD
6/13/2019
Although there are similarities between the two standards that investment advisers and broker-dealers must live under – each must put their client’s i...
Latest News
6/20/2019 | Content areas: Broker-Dealer

A $42 million settlement announced June 14 by the SEC now represents the largest recovery ever against a broker-dealer in the Commission’s ongoing inv...

6/20/2019 | Content areas: Investment Adviser

Now that the SEC has completed its ground-breaking fiduciary duty rulemaking, the Commission can now turn its sights on other rulemaking initiatives c...

6/20/2019 | Content areas: Investment Adviser

With exempt offerings accounting for a significantly larger amount of new capital compared to registered offerings, the SEC is reaching out for feedba...

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