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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March 4, 2019 IA Watch Weekly Briefing

2/28/2019 | Content area: Investment Adviser
Federal court in Boston will be the sparring ground over questions of whether Fidelity has violated ERISA by charging a secret fee to allow mutual fun...
2/28/2019 | Content area: CPO/CTA
With a March end deadline, much uncertainty exists about the aftermath of Brexit on financial services. U.S. and UK regulators have taken steps to red...
2/28/2019 | Content area: Private Fund
How you set up your investors’ coinvestment opportunities are up to you but, as so often happens under the Advisers Act, be sure you do what you pledg...
2/28/2019 | Content area: Investment Adviser
A new SEC interim final rule turns the planned monthly Form N-Port reporting by mutual funds into quarterly reports. The Commission also relaxes the i...
2/28/2019 | Content area: Private Fund
It’s likely the duty within a private fund advisory firm to allocate expenses falls to accounting or finance. But this doesn’t mean compliance officer...
2/28/2019 | Content area: Investment Adviser
The recent government shutdown resulted in the SEC operating with a bare bones staff only addressing emergencies involving market integrity, investor ...
2/28/2019 | Content area: Broker-Dealer
FINRA is looking to hear from broker-dealers that have had to activate their business continuity plans and whether the implementation of the BCP ultim...
2/28/2019 | Content area: Investment Adviser
Know that if you have clients between ages 70 and 79, they may be the ones most at risk for elderly financial abuse (IA Watch, Feb. 14, 2019).   This ...
2/28/2019 | Content area: Broker-Dealer
A year after FINRA proposed an ill-fated overhaul, regulation of outside business activities and private securities transactions seems to be back with...
2/28/2019 | Content area: CPO/CTA
The recent government shutdown has slowed but not deterred harmonization efforts between the SEC and the CFTC.   “We’re making very good progress” tow...
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