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
8/15/2019 | 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: 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: 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 ...
8/08/2019 | Content area: Investment Adviser
In the end, Dawn Bennett received one year in prison for every $1 million she took from investors. We’ve shared with you before the tale of the Maryla...
8/08/2019 | Content area: CPO/CTA
It’s the kind of story that can make a compliance officer beam with pride because it illustrates that businesses today can’t be successful without a d...
8/08/2019 | Content area: Investment Adviser
It’s rare to see the SEC simultaneously issue two “no-action” letters with identical responses but that occurred Aug. 6 as separate closed-end funds g...
8/08/2019 | Content area: Investment Adviser
A new Investment Company Institute report on proxy voting released July 29 reveals that fund advisers don’t mechanically vote or take a one-size-fits-...
8/08/2019 | Content area: Broker-Dealer
Issuance activity in foreign sovereign debt securities has accelerated “substantially” in recent years and FINRA is moving to secure information on wh...
8/08/2019 | Content area: Broker-Dealer
A New York assemblyman is preparing legislation that will bring the ongoing battle over whether broker-dealers owe a fiduciary duty to their clients t...
8/01/2019 | Content area: Investment Adviser
Two cases within one week involving different regulators espouse the value of checking out staff and prospective employees. OCIE’s latest risk alert s...
8/01/2019 | Content area: Investment Adviser
Sometimes predictions come true. Several CCOs report to RCW that their OCIE exams have stretched out due to the government’s record long shutdown earl...
8/01/2019 | Content area: Broker-Dealer
The potential liability of compliance officers may be waning, but there are still some egregious cases where mischief leads to deep trouble for a comp...
8/01/2019 | Content area: Broker-Dealer
Background checks are a critically important tool in the arsenal of firms serving as gatekeepers to protect their firm’s investors from “bad actors.” ...
8/01/2019 | Content area: CPO/CTA
With a new Prime Minister in the UK who promises a hard exit to Brexit, if necessary, the CFTC’s new Chairman Heath Tarbert pledges to “closely” monit...
8/01/2019 | Content area: CPO/CTA
With the clock ticking down to the end of a two-year-old CFTC “no-action” letter on Aug. 12, the Commission has acted to extend the relief until the s...
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