Conquering Current Compliance Challenges
Oct. 9, 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 26, 2019 RCW Weekly Briefing

8/22/2019 | Content area: Investment Adviser
Investment advisers will have to conduct annual reviews of their proxy voting programs under new guidance approved by a split SEC Aug. 21.   The 26-pa...
8/22/2019 | Content area: Investment Adviser
Form ADV, Part 2a – the brochure – includes a section on fees but the structure fails to allow easy comparisons among what advisers charge, according ...
8/22/2019 | Content area: Investment Adviser
Financial Sherpa and its sole principal are now carrying the heavy weight of an SEC enforcement action and industry bar tied to a cherry-picking schem...
8/22/2019 | Content area: Broker-Dealer
When does a customer account fee become unreasonably excessive? Does FINRA have a role in monitoring such fees, especially among consenting profession...
8/22/2019 | Content area: Investment Adviser
It’s been nearly a year since SEC Chairman Jay Clayton reminded everyone that staff guidance – such as FAQs, exemptive orders and “no-action” letters ...
8/22/2019 | Content area: Investment Adviser
A Brooklyn financial analyst is pushing back against an SEC order freezing some $8 million in assets, saying his digital blockchain isn’t subject to C...
8/22/2019 | Content area: Broker-Dealer
Two more enforcement actions simultaneously announced by the SEC evidence the Commission’s continued focus on abusive practices in the handling of “pr...
8/22/2019 | Content area: Broker-Dealer
FINRA is trying to make it easier than ever for firms to get credit for what it considers “extraordinary cooperation.” Perhaps the best evidence that ...
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