Conquering Current Compliance Challenges
April 10, 2019 | 2:00 - 2:30 PM EST

Real-Life Lessons Learned from Peers Who’ve Had to Implement their BCPs
April 16, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: March 13, 2019 
  Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
LATEST NEWS & GUIDANCE
1/24/2019 | Content area: Investment Adviser
To reconcile means “to check against another for accuracy.”   Reconciliation is “a very important function” for the CCO, says Kurt Nuñez, a consultant...
1/24/2019 | Content area: Investment Adviser
First, thanks to those of you who recently took our online subscriber survey. Here are some of the results.   Fully half of respondents stated their c...
1/24/2019 | Content area: Broker-Dealer
FINRA’s recently released 2019 Risk Monitoring and Examination Priorities letter takes a new tact this go round by emphasizing new focus areas not not...
1/24/2019 | Content area: Private Fund
Look at it as a friendly divorce that welcomes into the marriage a new spouse.   Most limited partnership agreements offered by private equity fund ad...
1/24/2019 | Content area: Broker-Dealer
FINRA sees growing problems with reps’ discretionary trading, and the range of conduct under scrutiny is broad. The SRO identified discretionary accou...
1/24/2019 | Content area: Investment Adviser
After two years, The Robare Group ($177M in AUM) finally argued its Form ADV disclosure enforcement case before appellate judges Jan. 23 (IA Watch, No...
1/17/2019 | Content area: Investment Adviser
IA Watch has obtained a copy of an Excel file demonstrating the trade blotter format OCIE would like firms to submit during an SEC exam.   The new for...
1/17/2019 | Content area: Investment Adviser
There’s RAUM and AUM and now, at the risk of drowning in acronym soup, AUA. They all add up to ways to measure the size of your advisory business.   S...
1/17/2019 | Content area: Investment Adviser
The unidentified public company uploaded a “test filing” that revealed its second quarter earnings to the SEC’s EDGAR system at 3:32 p.m. on a Thursda...
1/17/2019 | Content area: Investment Adviser
There have been rumblings for years about concerns regulators may have when a client’s brokerage account gets switched to an advisory account that cha...
1/17/2019 | Content area: Investment Adviser
When four reps left Summit Equities ($3B in AUM) in Parsippany, N.J., they took client personally identifiable information with them – and the adviser...
1/17/2019 | Content area: Investment Adviser
The author of a book that claims SEC charges against him were “unfounded and unfair” remains a mystery and it’s uncertain whether you’ll ever get to r...
1/17/2019 | Content area: Broker-Dealer
How serious are authorities about anti-money laundering compliance?   Serious enough to file the first-ever criminal charge against a broker-dealer fo...
1/14/2019 | Content area: Investment Adviser
Managing Director Rob Tull of Progressive Compliance Advisors shares his process for conducting an annual review. Tull has honed his process over the...
1/10/2019 | Content area: Investment Adviser
The New Year starts with advisers facing OCIE exams left wondering what they should do. And they’re not alone.   Marlon Paz used to work at the SEC. H...
1/10/2019 | Content area: Investment Adviser
Chances are John Maccoll and Steven Pagartanis have never met. But they share much in common. Both are fired broker-dealer reps who for years ran scam...
1/10/2019 | Content area: Broker-Dealer
Seeing continued “problematic” cybersecurity practices in its examination and risk monitoring program, FINRA has stepped in with a new report detailin...
1/10/2019 | Content area: Investment Adviser | Private Fund
In what may be the last SEC no-action letter released for some time due to the government shutdown, the Division of Investment Management last month g...
1/10/2019 | Content area: Investment Adviser
Those investors who use financial professionals actually expect more from a “best interest” standard than those that don’t.   This is “one striking an...
1/10/2019 | Content area: Investment Adviser
Just before the government shutdown late last month, the SEC released news that it was dropping a five-year legal battle against four adviser principa...
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