Conquering Current Compliance Challenges
June 12, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: May 15, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
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 |

February 18, 2019 IA Watch Weekly Briefing

2/14/2019 | Content area: Investment Adviser
Maryland-based adviser Dawn Bennett once paid $1.4 million for a luxury suite at AT&T Stadium, a perch from which she watched the Dallas Cowboys play....
2/14/2019 | Content area: Investment Adviser
Call it love late in life. She was in her 60s when she met a man in his 70s. It would become the second marriage for both. They lived together for 15 ...
2/14/2019 | Content area: CPO/CTA
If you’re with a CPO/CTA that claims an exemption from CFTC registration, be sure to re-affirm that exemption, if you still qualify for it, by March 1...
2/14/2019 | Content area: Private Fund
It took awhile but the federal agencies united in the Volcker rule finally have published their proposed changes. The Feb. 8th Federal Register reveal...
2/14/2019 | Content area: Investment Adviser
Your aged clients make tempting targets for fraudsters because they’re believed to have money and could be manipulated into giving it away (see relate...
2/14/2019 | Content area: Investment Adviser
Ajenifuja Investments, we hardly knew ya.   Kevin Ajenifuja hoped to launch an internet advisory firm so, in 2015, he registered the firm with the SEC...
2/14/2019 | Content area: Investment Adviser
For the first time in two years, OCIE’s 2019 exam priorities letter didn’t call out robo-advisers as a key focus (IA Watch, Jan. 2, 2019). But does th...
2/14/2019 | Content area: Broker-Dealer
It goes without saying that you should be scrupulously reviewing and retaining business-related e-mails. But when FINRA staff makes a point of telling...
2/14/2019 | Content area: CPO/CTA
An inflation adjustment has been made to the CFTC’s monetary penalties in a new final rule from the Commission. The 2.6% annual increase raises the lo...
2/14/2019 | Content area: CPO/CTA
Six years after the SEC put out its first exam priorities’ list, the CFTC has followed suit with its inaugural release.   2019 Compliance Branch Exami...
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