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

Conquering Current Compliance Challenges
Recorded: August 14, 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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July 8, 2019 IA Watch Weekly Briefing

7/05/2019 | Content area: Investment Adviser
Early debates among Democratic Presidential candidates attest to the vigorous election season that awaits – a perfect time to ponder the reach of the ...
7/05/2019 | Content area: Investment Adviser
One year after the SEC’s Investor Advocate Rick Fleming stated in his annual report to Congress on his objectives that the Commission’s three fiduciar...
7/05/2019 | Content area: Broker-Dealer
FINRA expects its expenses will again exceed its operating revenues this year. The SRO’s recently released 2018 annual financial report outlining fina...
7/05/2019 | Content area: CPO/CTA
You don’t have to be registered with the CFTC or even in the U.S. to face punishment by the regulator – as a Hong Kong-based hedge fund has learned.  ...
7/05/2019 | Content area: Investment Adviser
They’ve been years in the making and are a once-a-decade development (IA Watch, May 25, 2017). The CFA Institute June 30 released its Global Investmen...
7/05/2019 | Content area: Investment Adviser
Regulatory change was flagged as the perceived single biggest challenge facing compliance officers this year, according to Thomson Reuters Regulatory ...
7/05/2019 | Content area: Investment Adviser
In an April speech, OCIE Director Peter Driscoll detailed five of his division’s exam priorities and core risk areas (IA Watch, May 9, 2019). An SEC e...
7/05/2019 | Content area: Broker-Dealer
You’re at a small firm and examiners are coming in. What are the issues they are most likely to surface, and what’s the best way to head them off?    ...
7/05/2019 | Content area: CPO/CTA
Foreign firms, including CPOs/CTAs, that offer futures and options to U.S. investors can avoid registering with the CFTC if the agency determines they...
7/04/2019 | Content area: Investment Adviser
Capterra helps firms make wise software purchases. The firm’s buying guide includes helpful tips, such as to define your needs first (see related stor...
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