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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July 15, 2019 IA Watch Weekly Briefing

7/11/2019 | Content area: Investment Adviser
Form ADV. The pay-to-play rule. Money market rules. Risk management controls for broker-dealers.   These are among the eight rules the SEC will be rev...
7/11/2019 | Content area: Investment Adviser
With credit card issuers touting awards like airline miles, hotel stays, cash back and more for using their credit cards, it’s little wonder clients m...
7/11/2019 | Content area: Broker-Dealer
A proposal from FINRA to clamp down on broker-dealers with chronic disciplinary problems has been criticized as regulatory overkill and singularly unf...
7/11/2019 | Content area: Investment Adviser
Claiming your firm manages over $1 billion in assets to nearly 100 prospects when in reality the firm has “never managed any significant assets” spark...
7/11/2019 | Content area: Broker-Dealer
Questions have swirled in the industry around the application of the federal securities laws and FINRA rules regarding the custody of digital asset se...
7/11/2019 | Content area: Broker-Dealer
There is a price to pay for not enforcing your brokerage firm’s written supervisory procedures. Summit Brokerage Services WSPs stated that the upwards...
7/11/2019 | Content area: Investment Adviser
You’ve seen it many times. Not long after the SEC releases an enforcement settlement against an adviser or another firm, the Commission than grants th...
7/11/2019 | Content area: Investment Adviser
An investment adviser received regulatory relief to rely upon existing exemptive guidance rather than having to ask the SEC’s Division of Investment M...
7/11/2019 | Content area: Investment Adviser
The SEC commission is back to full strength with the July 8 swearing in of Democrat Allison Lee.   Lee has worked at the SEC before. She served as cou...
7/09/2019 | Content area: CPO/CTA
The SEC chose the day before the July 4th holiday to release a proposed rule, and days later it was joined by the CFTC, that would set the minimum mar...
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