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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August 5, 2019 RCW Weekly Briefing

8/01/2019 | Content area: Investment Adviser
Two cases within one week involving different regulators espouse the value of checking out staff and prospective employees. OCIE’s latest risk alert s...
8/01/2019 | Content area: Investment Adviser
Sometimes predictions come true. Several CCOs report to RCW that their OCIE exams have stretched out due to the government’s record long shutdown earl...
8/01/2019 | Content area: Broker-Dealer
Background checks are a critically important tool in the arsenal of firms serving as gatekeepers to protect their firm’s investors from “bad actors.” ...
8/01/2019 | Content area: Broker-Dealer
The potential liability of compliance officers may be waning, but there are still some egregious cases where mischief leads to deep trouble for a comp...
8/01/2019 | Content area: CPO/CTA
With a new Prime Minister in the UK who promises a hard exit to Brexit, if necessary, the CFTC’s new Chairman Heath Tarbert pledges to “closely” monit...
8/01/2019 | Content area: Investment Adviser
It’s a tight labor market for compliance officers but an open mind—and a few, key focused questions—might just help you build your A-Team.   “One of t...
8/01/2019 | Content area: CPO/CTA
With the clock ticking down to the end of a two-year-old CFTC “no-action” letter on Aug. 12, the Commission has acted to extend the relief until the s...
8/01/2019 | Content area: Investment Adviser
The SEC has charged a Massachusetts dual registrant, alleging that the firm failed to disclose a revenue sharing conflict of interest that generated s...
8/01/2019 | Content area: Broker-Dealer
The SEC has upheld a FINRA panel’s decision to suspend the CCO of a Syosset, New York-based broker-dealer for four months for failing to disclose a pa...
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