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
5/30/2019 | Content area: Investment Adviser
After the FBI busted Kevin Merrill and his Ponzi scheme last September, the Maryland man used handwritten notes flashed to his wife on the other side ...
5/30/2019 | Content area: Investment Adviser
Stephen Brandon Anderson obviously didn’t display a flair for the chief compliance officer role. That’s why a new settlement in an SEC enforcement act...
5/30/2019 | Content area: Investment Adviser
Surprises are certainly the enemy of compliance. Given that staff interviews are a growing staple of most SEC exams, conducting mock interviews with k...
5/30/2019 | Content area: Broker-Dealer
Financial regulators are actively encouraging investment advisers and broker-dealers to train their employees on how best to detect and report suspect...
5/24/2019 | Content area: Investment Adviser
Wednesday, June 5 is the date the SEC has set for the Commission to take up its proposed Reg BI, Form CRS, an IA “standard of conduct” and a new item ...
5/23/2019 | Content area: Investment Adviser
The bell for round 2 of the SEC’s liquidity risk management rule rings June 1 for mutual funds with more than $1 billion in assets. The first round en...
5/23/2019 | Content area: Investment Adviser
Come July, Richard Cody will report to federal prison to begin serving a two-year sentence for investment adviser fraud. But his elderly victims will ...
5/23/2019 | Content area: Private Fund
Poll results are in and the verdict sits squarely down the middle—half of a room chock full of private fund professionals anticipate an increased SEC ...
5/23/2019 | Content area: Investment Adviser
Cybersecurity-related deficiencies are “a top concern” of securities examiners across the North American Securities Administrators Association’s juris...
5/23/2019 | Content area: Investment Adviser
It was last year at this time that the North American Securities Administrators Association released its first-ever snapshot of the state-registered I...
5/23/2019 | Content area: CPO/CTA
You have to wonder if Glenn Graham even wanted to be in the commodity investment business anymore.   In a new enforcement settlement, Graham and his C...
5/23/2019 | Content area: Broker-Dealer
At least at its annual conference, FINRA goes all out to keep its customers happy. A survey of last year’s event, for example, found one attendee who ...
5/23/2019 | Content area: Investment Adviser
Cybersecurity concerns have driven OCIE May 23 to release a new risk alert urging investment advisers and broker-dealers to “actively oversee any vend...
5/16/2019 | Content area: Investment Adviser
Similar to about 40% of advisers, the firm indicated on its Form ADV, Part 1 that it has custody. But when OCIE examiners showed up for the first time...
5/16/2019 | Content area: Investment Adviser
Retail investors likely would never think to ask to read an adviser’s deficiency letter from the firm’s most recent OCIE exam. But institutional inves...
5/16/2019 | Content area: Broker-Dealer
In new guidance released May 6, FINRA is offering nearly 100 anti-money laundering “red flags” that broker-dealers should be watching for. Way back in...
5/16/2019 | Content area: Investment Adviser
A federal appeals court May 13 dismissed an appeal by adviser Louis Navellier in an attempt to have his compliance consultant’s records deemed to be p...
5/16/2019 | Content area: CPO/CTA
There are only 16 CFTC registered derivatives clearing organizations but they just got a kiss from their regulator.   The Commission is proposing simp...
5/16/2019 | Content area: Investment Adviser
When a client asked Michael Giokas if he could record their phone conversation, the owner/CCO of Giokas Wealth Advisors in Clarence, N.Y., had no idea...
5/16/2019 | Content area: Investment Adviser
Wade through an academic’s mumbo jumbo and new research leans toward saying investors sold annuities benefited when broker-dealers faced a fiduciary d...
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