Conquering Current Compliance Challenges
July 10, 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

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
2014 | 2015 | 2016 | 2017 | 2018 | 2019 |

June 3, 2019 IA Watch Weekly Briefing

5/30/2019 | Content area: Investment Adviser | Broker-Dealer
It may have surprised you to see that SEC commissioners added a 4th element to their scheduled June 5 meeting when they’ll take up their fiduciary dut...
5/30/2019 | Content area: Investment Adviser
Federal agencies have released their latest regulatory agendas and it appears the Department of Labor intends to revisit its ill-fated fiduciary duty ...
5/30/2019 | Content area: Investment Adviser
After the FBI busted Kevin Merrill and his Ponzi scheme last September, the Maryland man used handwritten notes flashed to his wife on the other side ...
5/30/2019 | Content area: Investment Adviser
Stephen Brandon Anderson obviously didn’t display a flair for the chief compliance officer role. That’s why a new settlement in an SEC enforcement act...
5/30/2019 | Content area: Investment Adviser
Surprises are certainly the enemy of compliance. Given that staff interviews are a growing staple of most SEC exams, conducting mock interviews with k...
5/30/2019 | Content area: Broker-Dealer
Financial regulators are actively encouraging investment advisers and broker-dealers to train their employees on how best to detect and report suspect...
© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US