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
6/13/2019 | Content area: Investment Adviser
Commissioner approval of rules and interpretations tied to fiduciary duty represented a “culmination of decades of work,” noted Barbara Gunn, assistan...
6/13/2019 | Content area: Investment Adviser
While advisers must demonstrate a duty of care and loyalty and seek best execution on behalf of their clients, RIAs can carve their fiduciary duty obl...
6/13/2019 | Content area: Broker-Dealer
Although there are similarities between the two standards that investment advisers and broker-dealers must live under – each must put their client’s i...
6/13/2019 | Content area: Investment Adviser
The good news is that the recently adopted Form CRS has been further condensed to a maximum two-page disclosure document for investment advisers and b...
6/13/2019 | Content area: Investment Adviser
Let’s face it—the two-page allotment for your Form CRS disclosures is not a lot of space any way you look at it. Being clear, along with being concise...
6/13/2019 | Content area: Investment Adviser
For the lone dissenter at last week’s SEC open meeting considering the fiduciary duty proposals the issue was simple—in his mind the rules didn’t requ...
6/13/2019 | Content area: Investment Adviser
They are well-known names now in the financial services industry—Kokesh, Lucia, Robare, and Lorenzo. For the SEC, they represent significant recent co...
6/07/2019 | Content area: Private Fund
The very first line of the SEC settlement summary pulls no punches, offering words of caution to all private fund advisers. “Valuation of client asset...
6/07/2019 | Content area: Investment Adviser
Two years after a noteworthy international hack of the SEC’s EDGAR system, the agency’s Office of Inspector General will be scrutinizing whether the C...
6/07/2019 | Content area: Investment Adviser
One of the biggest obstacles preventing investment advisers from investing in FinTech and digital currencies is a familiar nemesis: the custody rule. ...
6/07/2019 | Content area: Investment Adviser
The latest episode in the seven-year battle between a former San Diego investment adviser and the SEC over allegedly misleading marketing – a case tha...
6/07/2019 | Content area: CPO/CTA
The setting was Rome, home to an ancient empire, where CFTC Chairman J. Christopher Giancarlo brought up the “new futurism” and the challenges present...
6/05/2019 | Content area: Investment Adviser
At the center of the commissioner disagreement at their June 5 meeting over the SEC’s investment adviser fiduciary duty proposal is whether the final ...
6/05/2019 | Content area: Investment Adviser
Succinct, clear and concise, and Plain-English aren’t usually the buzz words affixed to SEC disclosures but those are among the goals for the Form CRS...
6/05/2019 | Content area: Broker-Dealer
The SEC’s approval by a 3-1 vote of the issuance of an interpretation of the “solely incidental” prong of the broker-dealer exclusion under the Advise...
6/05/2019 | Content area: Broker-Dealer
Broker-dealers have one year to ready for the major changes many will have to make to comply with the SEC’s new Reg BI after the Commission’s 3-1 vote...
6/05/2019 | Content area: Investment Adviser
For decades, the SEC has ridden the sword’s edge when it comes to balancing the oversight of two very different investment professionals – investment ...
6/04/2019 | Content area: Investment Adviser
Your local coffee shop may produce a quality cup of joe and offer you free Wi-Fi but be cautious that the service doesn’t come with a malicious slice ...
5/30/2019 | Content area: Investment Adviser | Broker-Dealer
It may have surprised you to see that SEC commissioners added a 4th element to their scheduled June 5 meeting when they’ll take up their fiduciary dut...
5/30/2019 | Content area: Investment Adviser
Federal agencies have released their latest regulatory agendas and it appears the Department of Labor intends to revisit its ill-fated fiduciary duty ...
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