Conquering Current Compliance Challenges
Aug. 14, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
IA WATCH WEEKLY BRIEFING ARCHIVE
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May 6, 2019 IA Watch Weekly Briefing

5/02/2019 | Content area: Investment Adviser
Five years on and more than $700,000 in, Mark Robare isn’t sorry he fought the SEC over charges of negligent Form ADV disclosures following the mixed ...
5/02/2019 | Content area: Broker-Dealer
The frequency of broker-dealers being victimized by imposter websites created to commit financial fraud appears to be rising. The alarming trend—where...
5/02/2019 | Content area: CPO/CTA
The recent NFA exam of a CPO adviser in the south went swimmingly, according to the firm’s CCO. One reason may be because the firm doesn’t have an ext...
5/02/2019 | Content area: Investment Adviser
In retrospect, the liens filed against Charles Winstead provided a warning that he deserved extra attention. The former Nationwide Securities’ insuran...
5/02/2019 | Content area: Investment Adviser
While reports have drifted in for months that OCIE was holding up advisers’ registration applications from firms in the EU after the GDPR took effect ...
5/02/2019 | Content area: Broker-Dealer
FINRA is putting its money where its mouth is when it comes to assisting broker-dealers in improving their compliance. Last year, the SRO spent $7.3 m...
5/02/2019 | Content area: CPO/CTA
It’s more than one year away when many hedge funds and other entities that engage in significant swap deals will have to begin to post and collect ini...
5/02/2019 | Content area: Broker-Dealer
When you are the named principal in your firm’s WSPs responsible for reviewing the suitability of your reps’ recommendations, claiming that you rely o...
5/01/2019 | Content area: Investment Adviser
Both sides in The Robare Group v. SEC case could claim a partial victory after the U.S. Court of Appeals in Washington, D.C. April 30 issued its rulin...
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