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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June 17, 2019 IA Watch Weekly Briefing

6/13/2019 | Content area: Investment Adviser
Commissioner approval of rules and interpretations tied to fiduciary duty represented a “culmination of decades of work,” noted Barbara Gunn, assistan...
6/13/2019 | Content area: Investment Adviser
While advisers must demonstrate a duty of care and loyalty and seek best execution on behalf of their clients, RIAs can carve their fiduciary duty obl...
6/13/2019 | Content area: Broker-Dealer
Although there are similarities between the two standards that investment advisers and broker-dealers must live under – each must put their client’s i...
6/13/2019 | Content area: Investment Adviser
The good news is that the recently adopted Form CRS has been further condensed to a maximum two-page disclosure document for investment advisers and b...
6/13/2019 | Content area: Investment Adviser
Let’s face it—the two-page allotment for your Form CRS disclosures is not a lot of space any way you look at it. Being clear, along with being concise...
6/13/2019 | Content area: Investment Adviser
For the lone dissenter at last week’s SEC open meeting considering the fiduciary duty proposals the issue was simple—in his mind the rules didn’t requ...
6/13/2019 | Content area: Investment Adviser
They are well-known names now in the financial services industry—Kokesh, Lucia, Robare, and Lorenzo. For the SEC, they represent significant recent co...
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