Regulatory Compliance Watch

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

IA Compliance: The Full 360° View Southwest
June 7, 2019 | Dallas, TX

UPCOMING WEBINARS

Conquering Current Compliance Challenges
Mar. 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: February 13, 2019

HANDBOOKS

The SEC Examinations Priorities Handbook (2019 Edition)
Includes: Best Practices, Document Request Letters and OCIE Risk Alerts

The Adviser's Guide to SEC Advertising and Marketing Rules

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 28, 2019 IA Watch Weekly Briefing

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Compliance best practices: The important CCO role in reconciling numbers

1/24/2019 | Content area: Investment Adviser

To reconcile means “to check against another for accuracy.” Reconciliation is “a very important function” for the CCO, says Kurt Nuñez, a consultant...

Most compliance budgets are staying flat or increasing, IA Watch survey reveals

1/24/2019 | Content area: Investment Adviser

First, thanks to those of you who recently took our online subscriber survey. Here are some of the results. Fully half of respondents stated their c...

FINRA emphasizes ‘materially new priorities’ in 2019 examinations’ focus letter

1/24/2019 | Content area: Broker-Dealer

FINRA’s recently released 2019 Risk Monitoring and Examination Priorities letter takes a new tact this go round by emphasizing new focus areas not not...

Private equity secondary sales show no signs of slowing

1/24/2019 | Content area: Private Fund

Look at it as a friendly divorce that welcomes into the marriage a new spouse. Most limited partnership agreements offered by private equity fund ad...

Discretionary trading drawing exam scrutiny, enforcement action

1/24/2019 | Content area: Broker-Dealer

FINRA sees growing problems with reps’ discretionary trading, and the range of conduct under scrutiny is broad. The SRO identified discretionary accou...

Judges hammer attorneys for both sides in Robare Group case

1/24/2019 | Content area: Investment Adviser

After two years, The Robare Group ($177M in AUM) finally argued its Form ADV disclosure enforcement case before appellate judges Jan. 23 (IA Watch, No...