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
7/18/2019 | Content area: Broker-Dealer
It’s been over 10 years since FINRA has provided the brokerage industry with guidance on the circumstances under which a firm or individual can influe...
7/18/2019 | Content area: Broker-Dealer
FINRA announced July 17 that its multi-year mutual fund fee waiver initiative has yielded settlements with 56 broker-dealers. The initiative has ultim...
7/18/2019 | Content area: CPO/CTA
Heath Tarbert is officially the CFTC’s new chairman, replacing J. Christopher Giancarlo, who joined the Commission in 2014 and became its chairman in ...
7/18/2019 | Content area: Private Fund
Earlier this month, five federal regulatory agencies, including the SEC and CFTC, issued a joint final rule excluding smaller banks from the Volcker r...
7/11/2019 | Content area: Investment Adviser
Form ADV. The pay-to-play rule. Money market rules. Risk management controls for broker-dealers.   These are among the eight rules the SEC will be rev...
7/11/2019 | Content area: Investment Adviser
With credit card issuers touting awards like airline miles, hotel stays, cash back and more for using their credit cards, it’s little wonder clients m...
7/11/2019 | Content area: Broker-Dealer
A proposal from FINRA to clamp down on broker-dealers with chronic disciplinary problems has been criticized as regulatory overkill and singularly unf...
7/11/2019 | Content area: Investment Adviser
Claiming your firm manages over $1 billion in assets to nearly 100 prospects when in reality the firm has “never managed any significant assets” spark...
7/11/2019 | Content area: Broker-Dealer
Questions have swirled in the industry around the application of the federal securities laws and FINRA rules regarding the custody of digital asset se...
7/11/2019 | Content area: Broker-Dealer
There is a price to pay for not enforcing your brokerage firm’s written supervisory procedures. Summit Brokerage Services WSPs stated that the upwards...
7/11/2019 | Content area: Investment Adviser
You’ve seen it many times. Not long after the SEC releases an enforcement settlement against an adviser or another firm, the Commission than grants th...
7/11/2019 | Content area: Investment Adviser
An investment adviser received regulatory relief to rely upon existing exemptive guidance rather than having to ask the SEC’s Division of Investment M...
7/11/2019 | Content area: Investment Adviser
The SEC commission is back to full strength with the July 8 swearing in of Democrat Allison Lee.   Lee has worked at the SEC before. She served as cou...
7/09/2019 | Content area: CPO/CTA
The SEC chose the day before the July 4th holiday to release a proposed rule, and days later it was joined by the CFTC, that would set the minimum mar...
7/09/2019 | Content area: Investment Adviser
Speaking before a group in Boston that included retail investors, SEC Chairman Jay Clayton July 8 vigorously defended the Commission’s actions in pass...
7/05/2019 | Content area: Investment Adviser
Early debates among Democratic Presidential candidates attest to the vigorous election season that awaits – a perfect time to ponder the reach of the ...
7/05/2019 | Content area: Broker-Dealer
FINRA expects its expenses will again exceed its operating revenues this year. The SRO’s recently released 2018 annual financial report outlining fina...
7/05/2019 | Content area: Investment Adviser
One year after the SEC’s Investor Advocate Rick Fleming stated in his annual report to Congress on his objectives that the Commission’s three fiduciar...
7/05/2019 | Content area: CPO/CTA
You don’t have to be registered with the CFTC or even in the U.S. to face punishment by the regulator – as a Hong Kong-based hedge fund has learned.  ...
7/05/2019 | Content area: Investment Adviser
They’ve been years in the making and are a once-a-decade development (IA Watch, May 25, 2017). The CFA Institute June 30 released its Global Investmen...
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