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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May 13, 2019 IA Watch Weekly Briefing

5/09/2019 | Content area: Investment Adviser
If you’re having difficulty making the case for sufficient resources for your firm’s compliance program, you may want to consider laying the latest sp...
5/09/2019 | Content area: Investment Adviser
When you and your staff calm down after an event that triggered the launching of your business continuity plan, know that the cyber bad guys could be ...
5/09/2019 | Content area: Investment Adviser
Nothing like calling out a real-world example in an attempt to persuade SEC commissioners that a proposal needs to be revised.   More than one adviser...
5/09/2019 | Content area: CPO/CTA
Think of it as a book you hope you never need to read. The CFTC’s Division of Enforcement has put out its 59-page enforcement manual. It offers everyt...
5/09/2019 | Content area: Private Fund
Many CFOs at private equity fund advisers also serve as CCOs. It’s important that someone wearing both hats also receive quality supervision as well. ...
5/09/2019 | Content area: Broker-Dealer
Thousands of AXA Advisors retirement plan participants believed they were investing in certain bond funds that were “investment-grade.” Turns out a su...
5/09/2019 | Content area: Broker-Dealer
For two straight years, FINRA has flagged anti-money laundering among its most concerning exam findings (BD Watch, Dec. 20, 2018). But there’s plenty ...
5/09/2019 | Content area: CPO/CTA
The NFA is reminding you that it has incorporated swaps and counterparties into seven existing compliance rules. The changes take effect July 1.   The...
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