Conquering Current Compliance Challenges
Sept. 11, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 12, 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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June 10, 2019 IA Watch Weekly Briefing

6/07/2019 | Content area: Investment Adviser
Two years after a noteworthy international hack of the SEC’s EDGAR system, the agency’s Office of Inspector General will be scrutinizing whether the C...
6/07/2019 | Content area: Investment Adviser
One of the biggest obstacles preventing investment advisers from investing in FinTech and digital currencies is a familiar nemesis: the custody rule. ...
6/07/2019 | Content area: Investment Adviser
The latest episode in the seven-year battle between a former San Diego investment adviser and the SEC over allegedly misleading marketing – a case tha...
6/07/2019 | Content area: CPO/CTA
The setting was Rome, home to an ancient empire, where CFTC Chairman J. Christopher Giancarlo brought up the “new futurism” and the challenges present...
6/07/2019 | Content area: Private Fund
The very first line of the SEC settlement summary pulls no punches, offering words of caution to all private fund advisers. “Valuation of client asset...
6/05/2019 | Content area: Investment Adviser
At the center of the commissioner disagreement at their June 5 meeting over the SEC’s investment adviser fiduciary duty proposal is whether the final ...
6/05/2019 | Content area: Investment Adviser
Succinct, clear and concise, and Plain-English aren’t usually the buzz words affixed to SEC disclosures but those are among the goals for the Form CRS...
6/05/2019 | Content area: Broker-Dealer
The SEC’s approval by a 3-1 vote of the issuance of an interpretation of the “solely incidental” prong of the broker-dealer exclusion under the Advise...
6/05/2019 | Content area: Broker-Dealer
Broker-dealers have one year to ready for the major changes many will have to make to comply with the SEC’s new Reg BI after the Commission’s 3-1 vote...
6/05/2019 | Content area: Investment Adviser
For decades, the SEC has ridden the sword’s edge when it comes to balancing the oversight of two very different investment professionals – investment ...
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