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
8/01/2019 | Content area: Investment Adviser
The SEC has charged a Massachusetts dual registrant, alleging that the firm failed to disclose a revenue sharing conflict of interest that generated s...
8/01/2019 | Content area: Investment Adviser
It’s a tight labor market for compliance officers but an open mind—and a few, key focused questions—might just help you build your A-Team.   “One of t...
8/01/2019 | Content area: Broker-Dealer
The SEC has upheld a FINRA panel’s decision to suspend the CCO of a Syosset, New York-based broker-dealer for four months for failing to disclose a pa...
7/25/2019 | Content area: Investment Adviser
The recent earthquakes in southern California jolted even long-time residents used to a sometimes unsteady ground.   “It was like a rolling motion. It...
7/25/2019 | Content area: Investment Adviser
Peter de Roetth opened Account Management ($135M in AUM) in Boston in 1963. One of his earliest clients was a woman who stuck with him for decades. In...
7/25/2019 | Content area: Investment Adviser
The same day OCIE put out its latest risk alert the agency held another outreach meeting, this time in Philadelphia (IA Watch, July 23, 2019). A CCO i...
7/25/2019 | Content area: Investment Adviser
The SEC just can’t escape legal challenges to its system of administrative law judges (IA Watch, July 18, 2019). While Ray Lucia’s case progresses, an...
7/25/2019 | Content area: Broker-Dealer
It’s not news that getting a client to loan you money or becoming a beneficiary of his or her estate is almost always a sure route to trouble. But, ev...
7/25/2019 | Content area: Investment Adviser
A pair of Alaska investment adviser managing principals didn’t properly disclose payments their firm received from a private real estate fund that the...
7/25/2019 | Content area: Investment Adviser
Financial regulators should take “a holistic, financial sector-wide view” of cyber-security threats—which includes communicating better amongst the va...
7/25/2019 | Content area: Broker-Dealer
FINRA still wants to hear if your firm has any current or planned activities tied to digital assets, including cryptocurrencies and other virtual coin...
7/23/2019 | Content area: Investment Adviser
Don’t just take the word of any applicant about the person’s disciplinary history. Investigate whether the person’s being honest about past troubles. ...
7/18/2019 | Content area: Investment Adviser
As fee structures grow more complicated, so must your oversight.   Controls at many firms “are not keeping up with the complexity of fees that are bei...
7/18/2019 | Content area: Investment Adviser
Having an entity test its ability to infiltrate your network stands as a confirmed cybersecurity best practice.   However, you may want to ask your ve...
7/18/2019 | Content area: CPO/CTA
You may wish to defer any trader’s bonus until after an audit is completed after finding out how a former portfolio manager at an unidentified Connect...
7/18/2019 | Content area: Investment Adviser
Facebook entrepreneur Mark Zuckerberg wasn’t even in high school when the SEC issued its 1996 guidance on e-delivery. It’s encouraging that the Commis...
7/18/2019 | Content area: Private Fund
Claiming to have enough assets to qualify for SEC registration when an adviser doesn’t lays out a road to trouble.   A new enforcement settlement bars...
7/18/2019 | Content area: Investment Adviser
The latest bout between the SEC and Ray Lucia over claims the former adviser allegedly hyped the performance of his advisory firm plays out with the a...
7/18/2019 | Content area: Investment Adviser
And the beat goes on. For six years running, cybersecurity has remained the biggest compliance concern at SEC-registered investment adviser firms, acc...
7/18/2019 | Content area: Investment Adviser
Sometimes your compliance job involves entering territory that can seem far afield.   Take Resolution Stay, the rules directed at large banks and prom...
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