Conquering Current Compliance Challenges
Aug. 14, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 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
3/08/2019 | Content area: Broker-Dealer
With an April 1 deadline nearing, the window of opportunity to take advantage of FINRA’s self-reporting initiative for 529 plans is rapidly closing (B...
3/08/2019 | Content area: CPO/CTA
It’s a good idea to give yourself a calendar reminder before your firm’s NFA membership’s anniversary date.   That’s because, as the NFA reminds, CPOs...
3/08/2019 | Content area: Investment Adviser
Some advisers making large acquisitions could trigger federal notification requirements from the Federal Trade Commission and the Justice Department (...
2/28/2019 | Content area: Investment Adviser
Federal court in Boston will be the sparring ground over questions of whether Fidelity has violated ERISA by charging a secret fee to allow mutual fun...
2/28/2019 | Content area: CPO/CTA
With a March end deadline, much uncertainty exists about the aftermath of Brexit on financial services. U.S. and UK regulators have taken steps to red...
2/28/2019 | Content area: Private Fund
How you set up your investors’ coinvestment opportunities are up to you but, as so often happens under the Advisers Act, be sure you do what you pledg...
2/28/2019 | Content area: Investment Adviser
A new SEC interim final rule turns the planned monthly Form N-Port reporting by mutual funds into quarterly reports. The Commission also relaxes the i...
2/28/2019 | Content area: Private Fund
It’s likely the duty within a private fund advisory firm to allocate expenses falls to accounting or finance. But this doesn’t mean compliance officer...
2/28/2019 | Content area: Investment Adviser
The recent government shutdown resulted in the SEC operating with a bare bones staff only addressing emergencies involving market integrity, investor ...
2/28/2019 | Content area: Broker-Dealer
FINRA is looking to hear from broker-dealers that have had to activate their business continuity plans and whether the implementation of the BCP ultim...
2/28/2019 | Content area: Investment Adviser
Know that if you have clients between ages 70 and 79, they may be the ones most at risk for elderly financial abuse (IA Watch, Feb. 14, 2019).   This ...
2/28/2019 | Content area: Broker-Dealer
A year after FINRA proposed an ill-fated overhaul, regulation of outside business activities and private securities transactions seems to be back with...
2/28/2019 | Content area: CPO/CTA
The recent government shutdown has slowed but not deterred harmonization efforts between the SEC and the CFTC.   “We’re making very good progress” tow...
2/21/2019 | Content area: Investment Adviser
A more complete look – at a year’s worth of Form ADV data – paints a clearer picture of the advisory industry. For instance, in sheer dollars managed,...
2/21/2019 | Content area: Investment Adviser
One peek at the calendar tells you the clock is ticking down to March 31, this year’s deadline for most advisers to update their Form ADV. Any shortcu...
2/21/2019 | Content area: Investment Adviser
It’s a sign of the industry’s ongoing struggle over the B-D commissions-based model vs. the fee-based IA approach that a 40-month jail term for a form...
2/21/2019 | Content area: Private Fund
One takeaway from those 13 advisers that settled with the SEC for failing for years to file Form PFs is to be careful in choosing your compliance cons...
2/21/2019 | Content area: Broker-Dealer
FINRA is warning brokerage firms to keep an eye out for a fraudulent “phishing” e-mail scheme aimed at compliance personnel. An e-mail making the roun...
2/21/2019 | Content area: Investment Adviser
The benefits of self-reporting to the SEC can be seen in the latest Commission enforcement action involving an unregistered initial coin offering. A W...
2/21/2019 | Content area: Investment Adviser
The SEC has officially increased its civil money penalties for Advisers Act and other violations, applying an inflation adjustment similar to what the...
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