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
5/15/2019 | Content area: Investment Adviser
Even though SEC Commissioner Hester Peirce supported “many” of the share class allocation settlements announced by the Commission’s Enforcement Divisi...
5/10/2019 | Content area: Broker-Dealer
Nearly a decade after the Dodd-Frank law took effect, SEC commissioners have proposed revisions to how it regulates the law’s provisions related to th...
5/09/2019 | Content area: Investment Adviser
If you’re having difficulty making the case for sufficient resources for your firm’s compliance program, you may want to consider laying the latest sp...
5/09/2019 | Content area: Investment Adviser
When you and your staff calm down after an event that triggered the launching of your business continuity plan, know that the cyber bad guys could be ...
5/09/2019 | Content area: Investment Adviser
Nothing like calling out a real-world example in an attempt to persuade SEC commissioners that a proposal needs to be revised.   More than one adviser...
5/09/2019 | Content area: CPO/CTA
Think of it as a book you hope you never need to read. The CFTC’s Division of Enforcement has put out its 59-page enforcement manual. It offers everyt...
5/09/2019 | Content area: Private Fund
Many CFOs at private equity fund advisers also serve as CCOs. It’s important that someone wearing both hats also receive quality supervision as well. ...
5/09/2019 | Content area: Broker-Dealer
Thousands of AXA Advisors retirement plan participants believed they were investing in certain bond funds that were “investment-grade.” Turns out a su...
5/09/2019 | Content area: Broker-Dealer
For two straight years, FINRA has flagged anti-money laundering among its most concerning exam findings (BD Watch, Dec. 20, 2018). But there’s plenty ...
5/09/2019 | Content area: CPO/CTA
The NFA is reminding you that it has incorporated swaps and counterparties into seven existing compliance rules. The changes take effect July 1.   The...
5/02/2019 | Content area: Investment Adviser
Five years on and more than $700,000 in, Mark Robare isn’t sorry he fought the SEC over charges of negligent Form ADV disclosures following the mixed ...
5/02/2019 | Content area: Broker-Dealer
The frequency of broker-dealers being victimized by imposter websites created to commit financial fraud appears to be rising. The alarming trend—where...
5/02/2019 | Content area: CPO/CTA
The recent NFA exam of a CPO adviser in the south went swimmingly, according to the firm’s CCO. One reason may be because the firm doesn’t have an ext...
5/02/2019 | Content area: Investment Adviser
In retrospect, the liens filed against Charles Winstead provided a warning that he deserved extra attention. The former Nationwide Securities’ insuran...
5/02/2019 | Content area: Investment Adviser
While reports have drifted in for months that OCIE was holding up advisers’ registration applications from firms in the EU after the GDPR took effect ...
5/02/2019 | Content area: Broker-Dealer
FINRA is putting its money where its mouth is when it comes to assisting broker-dealers in improving their compliance. Last year, the SRO spent $7.3 m...
5/02/2019 | Content area: CPO/CTA
It’s more than one year away when many hedge funds and other entities that engage in significant swap deals will have to begin to post and collect ini...
5/02/2019 | Content area: Broker-Dealer
When you are the named principal in your firm’s WSPs responsible for reviewing the suitability of your reps’ recommendations, claiming that you rely o...
5/01/2019 | Content area: Investment Adviser
Both sides in The Robare Group v. SEC case could claim a partial victory after the U.S. Court of Appeals in Washington, D.C. April 30 issued its rulin...
4/26/2019 | Content area: Investment Adviser
The Kentucky Court of Appeals ruled April 23 that public pension plan members lack standing to bring their lawsuit against KKR, Blackstone Alternative...
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