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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September 2, 2019 RCW Weekly Briefing

8/29/2019 | Content area: Investment Adviser
Nobody likes it when a finger gets pointed their direction. Skip casting blame and you may get a clearer picture of how many errors your traders make....
8/29/2019 | Content area: Investment Adviser
December 1 marks the date by which mutual fund advisers managing under $1 billion in assets must come into compliance with the SEC’s liquidity risk ma...
8/29/2019 | Content area: Private Fund
It appears that Brenda Smith had a broad reach into the pockets of her hedge fund investors.  The SEC has charged Smith, her hedge fund Broad Reach Ca...
8/29/2019 | Content area: Broker-Dealer
A Russia-based research and rating firm has been charged by the SEC with failing to disclose that it was compensated by certain worldwide issuers whos...
8/29/2019 | Content area: Investment Adviser
Imagine seeking a position with a multinational financial services company and not having to undergo a formal application process, having no defined q...
8/29/2019 | Content area: Investment Adviser
A Chicago investment adviser is behind bars, charged with swindling his clients, and the compliance office at his former firm may have helped put him ...
8/29/2019 | Content area: Investment Adviser
Fall is coming but the SEC wants you to know that cherry-picking season is over.  For the second time in a week, the Commission has charged a Californ...
8/29/2019 | Content area: Private Fund
A defunct Manhattan broker-dealer and its former CEO have agreed to settle SEC claims that they failed to supervise one of their brokers who was illeg...
8/29/2019 | Content area: Investment Adviser
A Los Angeles grand jury has indicted a California man on charges that he bilked dozens of investors out of millions of dollars by offering them “risk...
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