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 9, 2019 RCW Weekly Briefing

9/05/2019 | Content area: Investment Adviser
It’s expected that the promised revision to the Advisers Act’s nearly 60-year-old advertising rule will address social media. That insight came out of...
9/05/2019 | Content area: Investment Adviser
 Investment advisers are struggling with disclosure rules tied to agency cross trades, and when selling or buying securities from their clients—especi...
9/05/2019 | Content area: Broker-Dealer
Deficient trading reviews conducted by an inexperienced and untrained compliance associate has led to SEC charges that a New York-based broker-dealer ...
9/05/2019 | Content area: Broker-Dealer
Citing concern about potential conflicts of interest and inadequate training, FINRA has issued new guidance detailing when firms are obligated to regi...
9/05/2019 | Content area: Broker-Dealer
FINRA has periodically enumerated concerns about the risk management practices of firms that provide direct market access to customers.    And periodi...
9/05/2019 | Content area: Investment Adviser
A lawsuit filed Aug. 29 in federal court claims an adviser breached its fiduciary duty obligations by placing clients in higher fee mutual fund share ...
9/05/2019 | Content area: Private Fund
The SEC is pursuing fraud charges against two private hedge funds and their founders, who the Commission says bilked stricken former football players ...
9/05/2019 | Content area: Investment Adviser
When a split SEC approved new guidance on proxy voting for investment advisers, backers said it would bring much-needed clarity in an increasingly com...
9/05/2019 | Content area: Investment Adviser
Former adviser Ray Lucia succeeded in besting the SEC before the nation’s highest court in a ruling last year that the agency’s ALJ system was unconst...
9/05/2019 | Content area: CPO/CTA
With fresh signs that the SEC nears modernizing its advertising rules, the NFA is beating the Commission to the punch (see related story).   The NFA h...
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