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
6/27/2019 | Content area: Investment Adviser
In the end the price tag for State Street in a new SEC enforcement case hit tens of millions of dollars even though the bank self-reported the violati...
6/27/2019 | Content area: Broker-Dealer
Donald Fowler previously had the inglorious distinction of being the impetus for an SEC investor alert warning about excessive trading and churning th...
6/27/2019 | Content area: Investment Adviser
Addressing concerns stemming from “opportunistic strategies” in the credit derivatives markets has been identified as a top priority of the chairmen o...
6/20/2019 | Content area: Broker-Dealer
A $42 million settlement announced June 14 by the SEC now represents the largest recovery ever against a broker-dealer in the Commission’s ongoing inv...
6/20/2019 | Content area: Investment Adviser
Now that the SEC has completed its ground-breaking fiduciary duty rulemaking, the Commission can now turn its sights on other rulemaking initiatives c...
6/20/2019 | Content area: Investment Adviser
With exempt offerings accounting for a significantly larger amount of new capital compared to registered offerings, the SEC is reaching out for feedba...
6/19/2019 | Content area: Investment Adviser
A long-confirmed best practice has advisers showing OCIE examiners a “day one” PowerPoint presentation to introduce their visitors to their firm.   Be...
6/18/2019 | Content area: Broker-Dealer
As in past years, FINRA’s annual conference in May concluded with an open-ended Q&A with senior staff of the SRO, in effect an opportunity for firms a...
6/13/2019 | Content area: Investment Adviser
Commissioner approval of rules and interpretations tied to fiduciary duty represented a “culmination of decades of work,” noted Barbara Gunn, assistan...
6/13/2019 | Content area: Investment Adviser
While advisers must demonstrate a duty of care and loyalty and seek best execution on behalf of their clients, RIAs can carve their fiduciary duty obl...
6/13/2019 | Content area: Broker-Dealer
Although there are similarities between the two standards that investment advisers and broker-dealers must live under – each must put their client’s i...
6/13/2019 | Content area: Investment Adviser
The good news is that the recently adopted Form CRS has been further condensed to a maximum two-page disclosure document for investment advisers and b...
6/13/2019 | Content area: Investment Adviser
Let’s face it—the two-page allotment for your Form CRS disclosures is not a lot of space any way you look at it. Being clear, along with being concise...
6/13/2019 | Content area: Investment Adviser
For the lone dissenter at last week’s SEC open meeting considering the fiduciary duty proposals the issue was simple—in his mind the rules didn’t requ...
6/13/2019 | Content area: Investment Adviser
They are well-known names now in the financial services industry—Kokesh, Lucia, Robare, and Lorenzo. For the SEC, they represent significant recent co...
6/07/2019 | Content area: Private Fund
The very first line of the SEC settlement summary pulls no punches, offering words of caution to all private fund advisers. “Valuation of client asset...
6/07/2019 | Content area: Investment Adviser
Two years after a noteworthy international hack of the SEC’s EDGAR system, the agency’s Office of Inspector General will be scrutinizing whether the C...
6/07/2019 | Content area: Investment Adviser
One of the biggest obstacles preventing investment advisers from investing in FinTech and digital currencies is a familiar nemesis: the custody rule. ...
6/07/2019 | Content area: Investment Adviser
The latest episode in the seven-year battle between a former San Diego investment adviser and the SEC over allegedly misleading marketing – a case tha...
6/07/2019 | Content area: CPO/CTA
The setting was Rome, home to an ancient empire, where CFTC Chairman J. Christopher Giancarlo brought up the “new futurism” and the challenges present...
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