Robo-Advisers: Do They Threaten Traditional Investment Advisers
June 11, 2019 | 2:00 - 3:00 PM EST

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
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April 29, 2019 IA Watch Weekly Briefing

4/25/2019 | Content area: Investment Adviser
Scenario: Say, you’re a compliance officer who serves as the adviser’s in-house counsel and you’ve been tasked with conducting an internal investigati...
4/25/2019 | Content area: Broker-Dealer
In a bid to provide greater flexibility to broker-dealers withdrawing their registration, the SEC has approved amendments to FINRA rule 4570 affording...
4/25/2019 | Content area: Private Fund
Many would say only having four to five hours’ worth of telephone calls and performing a few Google searches doesn’t constitute sufficient due diligen...
4/25/2019 | Content area: Investment Adviser
Wi-Fi can be so convenient – yet so risky.   OCIE’s new risk alert on Reg S-P warns of the use of “unsecure networks,” noting many firms don’t have co...
4/25/2019 | Content area: Investment Adviser
The near record, rising stock market has pushed some advisers over the threshold to where they are required to file Form 13F. The SEC mandates that ce...
4/25/2019 | Content area: Broker-Dealer
The rules for statutory disqualification are straightforward enough. Willfully violate the securities laws or commit a felony and you’re subject to di...
4/25/2019 | Content area: CPO/CTA
It took the CFTC three years after the SEC revised its rules regarding sending annual privacy notices to clients for the Commission to follow suit but...
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