Conquering Current Compliance Challenges
Nov. 13, 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 20, 2019 IA Watch Weekly Briefing

5/16/2019 | Content area: Investment Adviser
Similar to about 40% of advisers, the firm indicated on its Form ADV, Part 1 that it has custody. But when OCIE examiners showed up for the first time...
5/16/2019 | Content area: Investment Adviser
Retail investors likely would never think to ask to read an adviser’s deficiency letter from the firm’s most recent OCIE exam. But institutional inves...
5/16/2019 | Content area: Broker-Dealer
In new guidance released May 6, FINRA is offering nearly 100 anti-money laundering “red flags” that broker-dealers should be watching for. Way back in...
5/16/2019 | Content area: Investment Adviser
A federal appeals court May 13 dismissed an appeal by adviser Louis Navellier in an attempt to have his compliance consultant’s records deemed to be p...
5/16/2019 | Content area: CPO/CTA
There are only 16 CFTC registered derivatives clearing organizations but they just got a kiss from their regulator.   The Commission is proposing simp...
5/16/2019 | Content area: Investment Adviser
When a client asked Michael Giokas if he could record their phone conversation, the owner/CCO of Giokas Wealth Advisors in Clarence, N.Y., had no idea...
5/16/2019 | Content area: Investment Adviser
Wade through an academic’s mumbo jumbo and new research leans toward saying investors sold annuities benefited when broker-dealers faced a fiduciary d...
5/15/2019 | Content area: Investment Adviser
Even though SEC Commissioner Hester Peirce supported “many” of the share class allocation settlements announced by the Commission’s Enforcement Divisi...
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