IA Compliance: The Full 360° View East 
March 7-8, 2019 | Washington, D.C.

UPCOMING WEBINARS

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

Strategies to Make this Year’s Form ADV Update a Breeze
Feb. 19, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: January 16, 2019 
  Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

The SEC Examinations Priorities Handbook
Includes: 28 Best Practices, 20 Document Request Letters and 6 OCIE Risk Alerts

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

 
IA WATCH WEEKLY BRIEFING ARCHIVE
2014 | 2015 | 2016 | 2017 | 2018 | 2019 |

January 7, 2019 IA Watch Weekly Briefing

1/02/2019 | Content area: Investment Adviser
Predictions that OCIE would put out its 2019 exam priorities before 2018 ended proved true (IA Watch, Nov. 13, 2018), as did prognostications that the...
1/02/2019 | Content area: Investment Adviser
New rules from the SEC regarding advertising and fiduciary duty. A rougher economy and more stock market turbulence. Political upheaval. Tougher OCIE ...
1/02/2019 | Content area: Investment Adviser
The New Year opens like a new book, awaiting only for you to write your story. Gain some ideas for tasks to tackle in 2019 by seeing what your complia...
1/02/2019 | Content area: Investment Adviser
We’ve shared predictions for the regulatory year ahead (see related story). Now check out the regulatory calendar for 2019. These items becom...
1/02/2019 | Content area: Private Fund
An old car product advertisement used to sell its product by stating “pay me now, or pay me later.”   This adage could apply to Lightyear Capital ($2....
1/02/2019 | Content area: Broker-Dealer
Gauging the talents of newly qualified reps is never easy. Now, FINRA has taken a step that may make the exercise even more daunting.   The SRO has qu...
1/02/2019 | Content area: Investment Adviser
If your firm is in the middle of – or scheduled to begin – an OCIE exam, the partial federal government shutdown that began Dec. 22 provides you with ...
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