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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August 12, 2019 RCW Weekly Briefing

8/08/2019 | Content area: Investment Adviser
Hundreds of industry professionals signed on to a petition started by two NFA board members – one an Illinois CPO and the other a Colorado CTA – implo...
8/08/2019 | Content area: Investment Adviser
OCIE examiners visited the mutual fund adviser with one goal: to assess if the fees it receives for shareholder services were legit. “If you’re colle...
8/08/2019 | Content area: Broker-Dealer
FINRA, in its 2019 exam priorities letter, expressed concern about self-dealing behavior by reps acting as fiduciaries (BD Watch, Jan. 24, 2019). The ...
8/08/2019 | Content area: Investment Adviser
In the end, Dawn Bennett received one year in prison for every $1 million she took from investors. We’ve shared with you before the tale of the Maryla...
8/08/2019 | Content area: CPO/CTA
It’s the kind of story that can make a compliance officer beam with pride because it illustrates that businesses today can’t be successful without a d...
8/08/2019 | Content area: Investment Adviser
It’s rare to see the SEC simultaneously issue two “no-action” letters with identical responses but that occurred Aug. 6 as separate closed-end funds g...
8/08/2019 | Content area: Investment Adviser
A new Investment Company Institute report on proxy voting released July 29 reveals that fund advisers don’t mechanically vote or take a one-size-fits-...
8/08/2019 | Content area: Broker-Dealer
Issuance activity in foreign sovereign debt securities has accelerated “substantially” in recent years and FINRA is moving to secure information on wh...
8/08/2019 | Content area: Broker-Dealer
A New York assemblyman is preparing legislation that will bring the ongoing battle over whether broker-dealers owe a fiduciary duty to their clients t...
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