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
3/21/2019 | Content area: Investment Adviser
Investment companies will enjoy a phase-in period before being required to file disclosures with the SEC in an HTML format with hyperlinks. The first ...
3/21/2019 | Content area: Investment Adviser
SEC commissioners March 20 approved a new proposal that would streamline the registration process for BDCs and other closed-end investment companies. ...
3/21/2019 | Content area: Investment Adviser
Three separate 401(k) investors have joined to file a new federal lawsuit claiming Fidelity violates its fiduciary duty and ERISA by charging mutual f...
3/18/2019 | Content area: Investment Adviser
IA Watch's latest video runs 1:48 and is designed to acquaint the new CCO at an advisory firm with fundamental compliance topics to be aware of.  
3/14/2019 | Content area: Investment Adviser
OCIE chalked up more than 2,000 IA exams in FY 2018, visiting 17% of all firms. These numbers may be out of reach in FY 2019 (IA Watch, Jan. 10, 2019)...
3/14/2019 | Content area: Investment Adviser
A new letter from the SEC’s Division of Investment Management seeks your guidance on how the agency should deal with the non-delivery versus payment c...
3/14/2019 | Content area: Investment Adviser
Paul Edmunds used to be a broker-dealer before he opened his own RIA. Four years ago, he converted the advisory firm into “a multi-generational, singl...
3/14/2019 | Content area: Investment Adviser
Gooder can clearly do better. Grenville Gooder, Jr., a 55-year securities industry veteran, and his SEC-registered advisory firm Ascension Asset Manag...
3/14/2019 | Content area: Broker-Dealer
Nearly a year after being charged by the SEC with failing to supervise a registered rep alleged to have been involved in a long-standing pump-and-dump...
3/14/2019 | Content area: CPO/CTA
One of the most important NFA rules is 2-9 (supervision). Now the SRO is amending it. For instance, the rule will not longer refer to the NFA’s “Compl...
3/14/2019 | Content area: CPO/CTA
The patience of the NFA has run out in regards to the El Segundo, Calif.-CPO Quants Capital Management and its former principal Gokhan Kisacikoglu. Th...
3/13/2019 | Content area: Investment Adviser
SEC Commissioner Hester Peirce has picked up the mantle carried by former SEC Commissioner Dan Gallagher in openly supporting compliance staff (IA Wat...
3/11/2019 | Content area: Investment Adviser
We had told you in December to expect a slew of settlements from advisers that took advantage of the SEC’s self-reporting initiative (IA Watch, Dec. 1...
3/08/2019 | Content area: Investment Adviser
The SEC exam did not go well. For some reason, examiners honed in on the small adviser relying entirely upon its clearing broker for best execution. B...
3/08/2019 | Content area: Investment Adviser
You still have plenty of time – until May 2 – to comment on the SEC’s recent proposal to rescind one rule and add a new one defining what registered f...
3/08/2019 | Content area: Investment Adviser
Fidelity is being asked by next week to supply answers to Massachusetts officials about fees it obtains from mutual funds. This development follows ne...
3/08/2019 | Content area: Investment Adviser
At 67 years of age – and after 35 years in the business – John Schmidt is going out of the industry wrapped in infamy.   A federal judge last month or...
3/08/2019 | Content area: Investment Adviser
In recognition that business can be conducted from anywhere these days, the SEC’s Division of Investment Management has issued no-action relief reques...
3/08/2019 | Content area: Investment Adviser
Promises of a high level of service at a low cost are always enticing but sometimes those promises prove empty. Such was the case for many clients of ...
3/08/2019 | Content area: Broker-Dealer
With an April 1 deadline nearing, the window of opportunity to take advantage of FINRA’s self-reporting initiative for 529 plans is rapidly closing (B...
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