Conquering Current Compliance Challenges
Oct. 9, 2019 | 2:00 - 2:30 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


 
RCW WEEKLY BRIEFING ARCHIVE
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January 14, 2019 IA Watch Weekly Briefing

1/10/2019 | Content area: Investment Adviser
The New Year starts with advisers facing OCIE exams left wondering what they should do. And they’re not alone.   Marlon Paz used to work at the SEC. H...
1/10/2019 | Content area: Investment Adviser
Chances are John Maccoll and Steven Pagartanis have never met. But they share much in common. Both are fired broker-dealer reps who for years ran scam...
1/10/2019 | Content area: Broker-Dealer
Seeing continued “problematic” cybersecurity practices in its examination and risk monitoring program, FINRA has stepped in with a new report detailin...
1/10/2019 | Content area: Investment Adviser
Those investors who use financial professionals actually expect more from a “best interest” standard than those that don’t.   This is “one striking an...
1/10/2019 | Content area: Investment Adviser | Private Fund
In what may be the last SEC no-action letter released for some time due to the government shutdown, the Division of Investment Management last month g...
1/10/2019 | Content area: Investment Adviser
Just before the government shutdown late last month, the SEC released news that it was dropping a five-year legal battle against four adviser principa...
1/10/2019 | Content area: Investment Adviser
New Jersey became the latest state to consider its own fiduciary duty standard last year. IA Watch has obtained the 61 comments sent to the state in r...
1/10/2019 | Content area: CPO/CTA
April 1 is the deadline for you to comply with changes the National Futures Association is making to its cybersecurity rules, which the SRO announced ...
1/10/2019 | Content area: Broker-Dealer
Where we last left the legal challenge by Alpine Securities Corp., the clearing broker was contesting a judge’s ruling that the SEC has legal authorit...
1/10/2019 | Content area: CPO/CTA
The CFTC may be temporarily closed due to the government shutdown but that isn’t stopping  President Trump from asking Congress to approve the Commiss...
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