Conquering Current Compliance Challenges
Nov. 13, 2019 | 2:00 - 2:30 PM EST

Ideas to Infuse your Firm’s Culture with a Heightened
Sense of Ethics

Oct. 15, 2019 | 2:00 - 3:00 PM EST

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

About Regulatory Compliance Watch
Regulatory Compliance Watch is the leading source for authoritative answers to your toughest IA, BD, CPO/CTA and private fund compliance questions. It delivers up-to-the-minute news, exclusive analysis and proven best practices, comprehensive compliance tools you can use and a network of compliance peers standing at the ready to assist you.
Regulatory Compliance Watch draws on the experiences and best practices of peers in the financial services industry like you and harnesses the best journalistic and research expertise available to create the most comprehensive information tool for compliance professionals working in the financial services industry.

Regulatory Compliance Watch Weekly Briefing
A subscription to Regulatory Compliance Watch also includes the Regulatory Compliance Watch Weekly Briefing, the award-winning, national print publication that delivers solutions to the most current compliance challenges securities professionals like you face on a weekly basis. The Regulatory Compliance Watch Weekly Briefing is an indispensable complement to the Regulatory Compliance Watch compliance service; the trusted compliance service for breaking news and insightful analysis of regulatory events.
Overcome your toughest compliance challenges head-on with Regulatory Compliance Watch
Even the best compliance officers can’t keep up 100% with ever-changing regulations, new rules and laws coming out of Washington, not to mention the potential of a regulator knocking on your door. You don’t have to do it all alone; count on Regulatory Compliance Watch to be your eyes and ears on the ground. Our subject matter experts have a direct line to policy makers and your sharpest peers – giving members early warning of upcoming regulations and plain-English guidance to master complex government rules.
In Regulatory Compliance Watch, you get step-by-step instructions from the nation’s leading investment adviser compliance experts on how to survive an exam, build a winning compliance program, identify key compliance risks and thrive as a regulated firm.
Top 10 reasons why Regulatory Compliance Watch is the right choice to help keep you compliant
10. By utilizing the enhanced search engine, you get superior free text or topic tag search results that provide a related content view so you can see all articles, laws and regulations and compliance tools on a specified search subject.
9. You can quickly pinpoint pertinent articles by topic, with access to the Regulatory Compliance Watch archive containing thousands of articles.
8. Keep abreast of enforcement trends and priorities with the latest regulatory actions specific to investment adviser, broker-dealer, CPO/CTA and private fund professionals  posted on a rolling basis.
7. Receive immediate access to the regulations that drive your compliance program like the full text of the Advisers Act, the other securities Acts as well as proposed and final rules.
6. Review no-action letters dating back to 2001.
5. Stay current on future developments with one touch access to hundreds of regulator speeches from January 2006 to present.
4. Quickly hone-in on specific issues of interest by using pre-selected topics for easy search results using our Search by Topic tool in each of the four compliance areas.
Access to our content experts. If you have a question or can’t find something on the website, you can reach out to our content experts at and they will answer your question or reach out to their sources to find the answer. 

2. Save time and become more efficient by utilizing hundreds of compliance tools and templates in our Compliance Toolboxes where you’ll find:
  • Best practices ranging from the annual review to zero-coupon bonds
  • Authoritative, field-tested, customizable compliance tools
  • Samples of recent document request letters from varied regions and much more
1. Utilize advice from the nation’s leading compliance experts found in the News and Guidance section to:
  • Investigate a word-searchable archive of compliance best practices and breaking news
  • Get special instruction and guidance for financial service compliance professionals
  • Set up advanced search and customizable e-mail alerts so you’re never surprised
Independent and objective

Regulatory Compliance Watch is published by PEI Media LLC. Our financial industry coverage has been continuous for more than 30 years.
PEI Media LLC is one of the nation's largest, specialized business-information companies. We provide information and analysis through a range of products, formats and delivery methods. Our comprehensive expertise is market-sector driven and based on journalistic integrity. Located just outside Washington, D.C., Regulatory Compliance Watch has won numerous peer-reviewed national editorial awards.

With a subscription to Regulatory Compliance Watch, you get the industry’s best, independent, laser-sharp analysis, emerging best practices, and up-to-the-minute guidance. Members get everything they need to get their job done better, faster and more accurately without any of the noise and distraction.
Regulatory Compliance Watch is an award-winning and highly regarded online intelligence tool used by investment adviser, broker-dealer, CPO/CTA and private fund professionals, regulators, lawyers, accountants and industry service providers.
Our mission is squarely aimed at helping financial institutions thrive in the shifting regulatory environment.
For additional information, contact us.