Conquering Current Compliance Challenges
Sept. 11, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: August 14, 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
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 ...
8/15/2019 | Content area: Investment Adviser
Ed Butowsky has a lot going on.   Since 2005, he has run Chapwood Capital Investment Management ($191M in AUM) in Plano, Texas, with little fanfare. B...
8/15/2019 | Content area: Investment Adviser
Our recap of recent SEC exam activity includes three new document request letters obtained by RCW (IA Watch, Aug. 1, 2019).   The first exam letter di...
8/15/2019 | Content area: Investment Adviser
It’s happened again. The SEC Aug. 13 settled an enforcement action – this time against an exempt-reporting adviser – for failing to disclose conflicts...
8/15/2019 | Content area: Broker-Dealer
In a potentially worrisome case for compliance officers, the SEC found that the former CCO of Merrimac Corporate Securities had violated FINRA rules b...
8/15/2019 | Content area: Investment Adviser
SEC Commissioner Hester Peirce would like to see “more focused momentum” at the Commission toward finalizing the regulatory regime for digital assets....
8/15/2019 | Content area: Investment Adviser | Broker-Dealer
The SEC Aug. 15 released a series of videos aimed at educating retail investors on the differences between investment advisers and broker-dealers in a...
8/15/2019 | Content area: Broker-Dealer
There’s no mistaking that the protection of senior investors remains a top priority for FINRA. At the start of the year, the SRO flagged the protectio...
8/15/2019 | Content area: Investment Adviser
A Massachusetts investment adviser should have to return nearly more than $275,000 he took from elder friends and clients in what amounted to “an elab...
8/15/2019 | Content area: Investment Adviser
A federal judge has frozen $8 million in assets of a self-described “financial guru” whom the SEC alleges bilked retail investors in a crypto-currency...
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 ...
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