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

July 22, 2019 RCW Weekly Briefing

7/18/2019 | Content area: Investment Adviser
As fee structures grow more complicated, so must your oversight.   Controls at many firms “are not keeping up with the complexity of fees that are bei...
7/18/2019 | Content area: Investment Adviser
Having an entity test its ability to infiltrate your network stands as a confirmed cybersecurity best practice.   However, you may want to ask your ve...
7/18/2019 | Content area: CPO/CTA
You may wish to defer any trader’s bonus until after an audit is completed after finding out how a former portfolio manager at an unidentified Connect...
7/18/2019 | Content area: Investment Adviser
Facebook entrepreneur Mark Zuckerberg wasn’t even in high school when the SEC issued its 1996 guidance on e-delivery. It’s encouraging that the Commis...
7/18/2019 | Content area: Private Fund
Claiming to have enough assets to qualify for SEC registration when an adviser doesn’t lays out a road to trouble.   A new enforcement settlement bars...
7/18/2019 | Content area: Investment Adviser
The latest bout between the SEC and Ray Lucia over claims the former adviser allegedly hyped the performance of his advisory firm plays out with the a...
7/18/2019 | Content area: Investment Adviser
And the beat goes on. For six years running, cybersecurity has remained the biggest compliance concern at SEC-registered investment adviser firms, acc...
7/18/2019 | Content area: Investment Adviser
Sometimes your compliance job involves entering territory that can seem far afield.   Take Resolution Stay, the rules directed at large banks and prom...
7/18/2019 | Content area: Broker-Dealer
It’s been over 10 years since FINRA has provided the brokerage industry with guidance on the circumstances under which a firm or individual can influe...
7/18/2019 | Content area: Broker-Dealer
FINRA announced July 17 that its multi-year mutual fund fee waiver initiative has yielded settlements with 56 broker-dealers. The initiative has ultim...
© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US