Conquering Current Compliance Challenges
April 10, 2019 | 2:00 - 2:30 PM EST

Real-Life Lessons Learned from Peers Who’ve Had to Implement their BCPs
April 16, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: March 13, 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

 
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
However it came about that you were named the CCO of your firm, you need to know the basics of what the Investment Advisers Act of 1940 demands of you...
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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