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
4/25/2019 | Content area: Investment Adviser
Scenario: Say, you’re a compliance officer who serves as the adviser’s in-house counsel and you’ve been tasked with conducting an internal investigati...
4/25/2019 | Content area: Broker-Dealer
In a bid to provide greater flexibility to broker-dealers withdrawing their registration, the SEC has approved amendments to FINRA rule 4570 affording...
4/25/2019 | Content area: Private Fund
Many would say only having four to five hours’ worth of telephone calls and performing a few Google searches doesn’t constitute sufficient due diligen...
4/25/2019 | Content area: Investment Adviser
Wi-Fi can be so convenient – yet so risky.   OCIE’s new risk alert on Reg S-P warns of the use of “unsecure networks,” noting many firms don’t have co...
4/25/2019 | Content area: Investment Adviser
The near record, rising stock market has pushed some advisers over the threshold to where they are required to file Form 13F. The SEC mandates that ce...
4/25/2019 | Content area: Broker-Dealer
The rules for statutory disqualification are straightforward enough. Willfully violate the securities laws or commit a felony and you’re subject to di...
4/25/2019 | Content area: CPO/CTA
It took the CFTC three years after the SEC revised its rules regarding sending annual privacy notices to clients for the Commission to follow suit but...
4/18/2019 | Content area: Investment Adviser
Today’s advisers play in a whole different media landscape than their predecessors.   Take Blackrock Financial Management ($833B in AUM) in New York. ...
4/18/2019 | Content area: CPO/CTA
CPOs examined by NFA staff beginning this month can expect to be asked about what they’ve done to comply with the SRO’s new internal controls notice. ...
4/18/2019 | Content area: Private Fund
If Matthew Rossi’s hedge fund venture were a star it would have streaked across the sky in a moment of awe – before crashing ingloriously.   The 50-ye...
4/18/2019 | Content area: Investment Adviser
The 59-year-old books and records rule may be showing its age but that’s not stopping advisers from plugging into modern means of communications for w...
4/18/2019 | Content area: Investment Adviser
It sure looks like 34-year-old Nikesh Patel won’t be going anywhere anytime soon. The U.S. Court of Appeals for the 7th Circuit in Chicago April 16 af...
4/18/2019 | Content area: Investment Adviser
The SEC’s Director of the Division of Investment Management Dalia Blass has signaled that developments on improvements to the proxy advisory process c...
4/18/2019 | Content area: Broker-Dealer
FINRA’s recently released 2019 Annual Budget Summary calls out that the SRO’s regulatory responsibilities remain “extensive and complex” and continue ...
4/18/2019 | Content area: Broker-Dealer
The SEC and FINRA have officially opened registration for their 2019 National Compliance Outreach Program for Broker-Dealers. The six-hour event—runni...
4/16/2019 | Content area: Investment Adviser
With cybersecurity as hot as a black hole, it’s no surprise that OCIE wants advisers to take a new look at their cybersecurity P&Ps as well as how the...
4/11/2019 | Content area: Investment Adviser
A glance at a recent OCIE document request letter leaves no doubt of examiners’ interest in advisory fees. This isn’t a state secret given the topic a...
4/11/2019 | Content area: Investment Adviser
Five years after F-Squared imploded over the use of fraudulent marketing data, a second adviser seeks to keep its compliance consultant’s work from th...
4/11/2019 | Content area: Investment Adviser
It’s a list you don’t want to be on.   “We have a database of thousands of deficiency letters in the IA space,” said Dan Kahl, co-deputy director/chie...
4/11/2019 | Content area: CPO/CTA
Luke Adrian, the CEO of the CPO East West Global in Highland Park, Ill., notes that the firm’s settlement of NFA charges is the first enforcement acti...
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