Conquering Current Compliance Challenges
June 12, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: May 15, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
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
4/04/2019 | Content area: Broker-Dealer
How do you get socked with a $100,000 fine for violations involving less than 1% of your revenue?    The answer shows the continuing importance of non...
4/03/2019 | Content area: Investment Adviser
Should the Senate approve President’s Trump’s nominee to the SEC, the Commission would return to full strength with five members. The President April ...
3/28/2019 | Content area: Investment Adviser
Last month we reported that the SEC’s latest cybersecurity sweep exam is in full swing (IA Watch, March 14, 2019). Now IA Watch shares with you a copy...
3/28/2019 | Content area: Investment Adviser
The latest twist in OCIE’s ongoing interest in how you’re protecting your firm’s cybersecurity plunges into how deeply you’re scrutinizing your vendor...
3/28/2019 | Content area: Investment Adviser
If there’s one key takeaway for advisers in the ABA’s new 353-page report on digital assets it’s that – wherever regulators stand on cryptocurrency le...
3/28/2019 | Content area: CPO/CTA
An unanimous vote greeted a new interim final rule from the CFTC last week that aims to bring “regulatory certainty” to an international swaps market ...
3/28/2019 | Content area: CPO/CTA
One side contends changing the swap dealer definition to permit banks to enter into transactions connected with loans to customers without registering...
3/28/2019 | Content area: Private Fund
Three years after Brendan Ross registered his advisory firm, Direct Lending Investments ($866M in AUM) in Glendale, Calif., the 100% owner and CEO abr...
3/28/2019 | Content area: Broker-Dealer
They are, in the words of one moderator at SIFMA’s annual compliance and legal conference, “the folks … who have the potential to make your life miser...
3/28/2019 | Content area: CPO/CTA
2021 seems like a long time away but it can be on you faster than you think. The NFA’s reminding firms that its amended rule 2-24 (rules governing the...
3/28/2019 | Content area: CPO/CTA
After studying futures orders over the past six years, the CFTC concludes that more and more transactions are automated as opposed to manual and almos...
3/27/2019 | Content area: Investment Adviser
The Supreme Court March 27 by a 6-2 vote ruled that a key Exchange Act rule permits a defendant to be liable for sending investors misleading e-mails ...
3/21/2019 | Content area: Investment Adviser
Back in December, we reported that sources were stating that the SEC was pivoting a bit from its focus on 12b-1 fees and share class allocations (see ...
3/21/2019 | Content area: Investment Adviser
It’s hard to get a handle on how many advisers receive 12b-1 fees for placing clients in certain mutual fund share classes. Look to Form ADV data and ...
3/21/2019 | Content area: CPO/CTA
It’s not everyday an SRO objects to a rule proposal put forth by its regulator but the NFA is unhappy with the CFTC’s recent proposal to reduce burden...
3/21/2019 | Content area: Investment Adviser
It can be difficult to determine when an aging client is slipping into dementia and advisers can feel pressured that unnecessarily raising an alarm co...
3/21/2019 | Content area: Private Fund
As the investment adviser to both the seller and buyer of a commercial real estate asset, Tamlico had a clear conflict. When the New York-based firm a...
3/21/2019 | Content area: Investment Adviser
Congress is being asked to approve a $1.74 billion budget for the SEC for the 2020 fiscal year beginning in October. This would mark a 2.7% increase o...
3/21/2019 | Content area: Investment Adviser
You may wish to consider live or videotaped training around the SEC’s pay-to-play rule.   Generation Investment Management ($8.4B in AUM) in San Franc...
3/21/2019 | Content area: Investment Adviser
After achieving 100% of its planned milestone’s last year, the SEC’s Division of Investment Management is actively moving on a number of priorities co...
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