Conquering Current Compliance Challenges
Sept. 11, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 12, 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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February 4, 2019 IA Watch Weekly Briefing

1/31/2019 | Content area: Investment Adviser
Undoubtedly, having a process for your annual review relieves you of worry and sets the tone for accomplishing this critical task (IA Watch, Jan. 14, ...
1/31/2019 | Content area: Broker-Dealer
FINRA is taking a page from the SEC’s playbook in announcing Jan. 28 a self-reporting initiative tied to share class recommendations. Under the SRO’s ...
1/31/2019 | Content area: Investment Adviser
Nevada has rolled the dice by proposing its own fiduciary duty rule last month. You have until March to share your comments about the proposal.   The ...
1/31/2019 | Content area: Investment Adviser
Given the SEC has just begun full operations after the record long partial government shutdown, it’s understandable that the agency hasn’t yet respond...
1/31/2019 | Content area: Investment Adviser
The protection of retail investors nationwide—particularly seniors—is a core mission of the SEC. A $1 billion penalty announced Jan. 28 against Woodbr...
1/28/2019 | Content area: Investment Adviser
If your firm was being examined or about to be when the government shutdown in late December, expect that OCIE will be reaching out soon to reschedule...
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