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


 
LATEST NEWS & GUIDANCE
9/12/2019 | Content area: Investment Adviser
As an attorney, Dan Ball would be hired by investment advisers to advise them on legal and compliance issues. Then, one long-time client had an epipha...
9/12/2019 | Content area: Investment Adviser
You may be alarmed when you think it took the SEC 178 pages in its Form CRS rule to help you produce a new two-page disclosure document (IA Watch, Jun...
9/12/2019 | Content area: Broker-Dealer
It’s no secret that the self-regulatory organizations developing the Consolidated Audit Trail have missed a slew of milestone completion dates (BD Wat...
9/12/2019 | Content area: Private Fund
A California lawyer has agreed to at least one year of debarment to settle claims that he defrauded his private pool investors by concealing his inter...
9/12/2019 | Content area: Investment Adviser
The number of registered investment advisers—and the amount of assets they manage—have both reached new records once again as reported in the annual E...
9/12/2019 | Content area: Investment Adviser
The CCO of a Massachusetts-based investment adviser won’t have to pay any further penalties after serving a criminal sentence for bilking his firm’s c...
9/12/2019 | Content area: Broker-Dealer
Concerns about the protection of personally identifiable information included in the Consolidated Audit Trail has long been an issue for regulators an...
9/12/2019 | Content area: CPO/CTA
The CEO of a purported CPO/CTA met his future CCO in the same spot where the fraudster lured many of his investors: church.   The congregant, Rafael M...
9/11/2019 | Content area: Investment Adviser
If you were among those who predicted the SEC’s fiduciary duty rulemaking would prompt a legal action, count yourself correct. Attorneys general from ...
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...
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....
© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US