Conquering Current Compliance Challenges
May 15, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: April 10, 2019 
  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
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April 15, 2019 IA Watch Weekly Briefing

4/11/2019 | Content area: Investment Adviser
A glance at a recent OCIE document request letter leaves no doubt of examiners’ interest in advisory fees. This isn’t a state secret given the topic a...
4/11/2019 | Content area: Investment Adviser
Five years after F-Squared imploded over the use of fraudulent marketing data, a second adviser seeks to keep its compliance consultant’s work from th...
4/11/2019 | Content area: Investment Adviser
It’s a list you don’t want to be on.   “We have a database of thousands of deficiency letters in the IA space,” said Dan Kahl, co-deputy director/chie...
4/11/2019 | Content area: CPO/CTA
Luke Adrian, the CEO of the CPO East West Global in Highland Park, Ill., notes that the firm’s settlement of NFA charges is the first enforcement acti...
4/11/2019 | Content area: Investment Adviser
The dual registrant that we featured in a story earlier this year that looked at whether a disciplinary event should be considered a material change t...
4/11/2019 | Content area: Investment Adviser
Plaintiffs continue to pile on Fidelity over claims the custodian charges mutual funds for access to its platform in contravention of ERISA rules. Ano...
4/11/2019 | Content area: CPO/CTA
Last November, the CFTC laid out a series of four priorities that would guide its enforcement program (CPO/CTA Watch, Nov. 21, 2018). Now, it’s readyi...
4/11/2019 | Content area: Broker-Dealer
The brokerage industry certainly sees its fair share of movement of registered reps from one firm to the next and across financial services firms oper...
4/11/2019 | Content area: Investment Adviser
Completing the Commission’s standards of conduct rulemaking remains “a top priority” for SEC Chairman Jay Clayton. In an address April 8 at the annual...
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