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
8/29/2019 | Content area: Investment Adviser
December 1 marks the date by which mutual fund advisers managing under $1 billion in assets must come into compliance with the SEC’s liquidity risk ma...
8/29/2019 | Content area: Private Fund
It appears that Brenda Smith had a broad reach into the pockets of her hedge fund investors.  The SEC has charged Smith, her hedge fund Broad Reach Ca...
8/29/2019 | Content area: Broker-Dealer
A Russia-based research and rating firm has been charged by the SEC with failing to disclose that it was compensated by certain worldwide issuers whos...
8/29/2019 | Content area: Investment Adviser
Imagine seeking a position with a multinational financial services company and not having to undergo a formal application process, having no defined q...
8/29/2019 | Content area: Investment Adviser
A Chicago investment adviser is behind bars, charged with swindling his clients, and the compliance office at his former firm may have helped put him ...
8/29/2019 | Content area: Investment Adviser
Fall is coming but the SEC wants you to know that cherry-picking season is over.  For the second time in a week, the Commission has charged a Californ...
8/29/2019 | Content area: Private Fund
A defunct Manhattan broker-dealer and its former CEO have agreed to settle SEC claims that they failed to supervise one of their brokers who was illeg...
8/29/2019 | Content area: Investment Adviser
A Los Angeles grand jury has indicted a California man on charges that he bilked dozens of investors out of millions of dollars by offering them “risk...
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...
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