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
7/05/2019 | Content area: Investment Adviser
Regulatory change was flagged as the perceived single biggest challenge facing compliance officers this year, according to Thomson Reuters Regulatory ...
7/05/2019 | Content area: Investment Adviser
In an April speech, OCIE Director Peter Driscoll detailed five of his division’s exam priorities and core risk areas (IA Watch, May 9, 2019). An SEC e...
7/05/2019 | Content area: Broker-Dealer
You’re at a small firm and examiners are coming in. What are the issues they are most likely to surface, and what’s the best way to head them off?    ...
7/05/2019 | Content area: CPO/CTA
Foreign firms, including CPOs/CTAs, that offer futures and options to U.S. investors can avoid registering with the CFTC if the agency determines they...
7/04/2019 | Content area: Investment Adviser
Capterra helps firms make wise software purchases. The firm’s buying guide includes helpful tips, such as to define your needs first (see related stor...
7/03/2019 | Content area: Investment Adviser
Nary a compliance officer can be found today who doesn’t depend upon technology to do the job. A good decision results in saving you time and effort. ...
6/27/2019 | Content area: Investment Adviser
Summertime and the living is easy, but that’s not why this is an exciting time for the SEC’s Alicia Tate.   “It’s my favorite time of year,” says the ...
6/27/2019 | Content area: Investment Adviser
The SEC’s mum about its “upgrade” to how advisers can upload to OCIE materials requested by examiners.   The new system, called Kiteworks, was due to ...
6/27/2019 | Content area: Broker-Dealer
Is FINRA’s consolidated enforcement function a good thing for the industry? Early signs suggest optimism.   An impetus behind the overhaul was concern...
6/27/2019 | Content area: Broker-Dealer
A package of rules adopted by the SEC June 21 represents another significant step toward the establishment of the regulatory regime for security-based...
6/27/2019 | Content area: Investment Adviser
A new “no-action” letter from the SEC’s Division of Investment Management gives an adviser relief from the Advisers Act’s prohibition on compensation ...
6/27/2019 | Content area: CPO/CTA
Consider that you have received notice. If you’re a CPO/CTA that has been approved by the NFA to engage in swaps yet don’t, you should consider withdr...
6/27/2019 | Content area: Investment Adviser
In the end the price tag for State Street in a new SEC enforcement case hit tens of millions of dollars even though the bank self-reported the violati...
6/27/2019 | Content area: Broker-Dealer
Donald Fowler previously had the inglorious distinction of being the impetus for an SEC investor alert warning about excessive trading and churning th...
6/27/2019 | Content area: Investment Adviser
Addressing concerns stemming from “opportunistic strategies” in the credit derivatives markets has been identified as a top priority of the chairmen o...
6/20/2019 | Content area: Broker-Dealer
A $42 million settlement announced June 14 by the SEC now represents the largest recovery ever against a broker-dealer in the Commission’s ongoing inv...
6/20/2019 | Content area: Investment Adviser
Now that the SEC has completed its ground-breaking fiduciary duty rulemaking, the Commission can now turn its sights on other rulemaking initiatives c...
6/20/2019 | Content area: Investment Adviser
With exempt offerings accounting for a significantly larger amount of new capital compared to registered offerings, the SEC is reaching out for feedba...
6/19/2019 | Content area: Investment Adviser
A long-confirmed best practice has advisers showing OCIE examiners a “day one” PowerPoint presentation to introduce their visitors to their firm.   Be...
6/18/2019 | Content area: Broker-Dealer
As in past years, FINRA’s annual conference in May concluded with an open-ended Q&A with senior staff of the SRO, in effect an opportunity for firms a...
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