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 29, 2019 RCW Weekly Briefing

7/25/2019 | Content area: Investment Adviser
The recent earthquakes in southern California jolted even long-time residents used to a sometimes unsteady ground.   “It was like a rolling motion. It...
7/25/2019 | Content area: Investment Adviser
Peter de Roetth opened Account Management ($135M in AUM) in Boston in 1963. One of his earliest clients was a woman who stuck with him for decades. In...
7/25/2019 | Content area: Investment Adviser
The same day OCIE put out its latest risk alert the agency held another outreach meeting, this time in Philadelphia (IA Watch, July 23, 2019). A CCO i...
7/25/2019 | Content area: Investment Adviser
The SEC just can’t escape legal challenges to its system of administrative law judges (IA Watch, July 18, 2019). While Ray Lucia’s case progresses, an...
7/25/2019 | Content area: Broker-Dealer
It’s not news that getting a client to loan you money or becoming a beneficiary of his or her estate is almost always a sure route to trouble. But, ev...
7/25/2019 | Content area: Investment Adviser
A pair of Alaska investment adviser managing principals didn’t properly disclose payments their firm received from a private real estate fund that the...
7/25/2019 | Content area: Broker-Dealer
FINRA still wants to hear if your firm has any current or planned activities tied to digital assets, including cryptocurrencies and other virtual coin...
7/25/2019 | Content area: Investment Adviser
Financial regulators should take “a holistic, financial sector-wide view” of cyber-security threats—which includes communicating better amongst the va...
7/23/2019 | Content area: Investment Adviser
Don’t just take the word of any applicant about the person’s disciplinary history. Investigate whether the person’s being honest about past troubles. ...
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