IA Compliance: The Full 360° View East 
March 7-8, 2019 | Washington, D.C.

UPCOMING WEBINARS

Conquering Current Compliance Challenges
Dec. 12, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: November 14, 2018 
 
HANDBOOKS
  Includes: 9 Best Practices, 3 Proposed Disclosure Mockups
and a 60-minute Audio Webinar

The Adviser's Guide to SEC Advertising and Marketing Rules
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

The SEC Examinations Priorities Handbook
Includes: 28 Best Practices, 20 Document Request Letters and 6 OCIE Risk Alerts

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
CPO/CTA NEWS & GUIDANCE
12/06/2018 | Content area: CPO/CTA
Better late than never. Three years after the SEC amended its privacy rules eliminating the requirement to send customers an annual notice if nothing ...
12/06/2018 | Content area: CPO/CTA
It’s been two years since the NFA released it cybersecurity rules (CPO/CTA Watch, Feb. 23, 2016). Now the SRO is amending them to, among other things,...
11/29/2018 | Content area: CPO/CTA
The latest final rule from the CFTC takes effect next month and makes clear that certain legacy uncleared swap deals aren’t subject to the Commission’...
11/29/2018 | Content area: CPO/CTA
The National Futures Association collected more than half a million dollars in fines in FY 2018, according to its new annual report released Nov. 20. ...
11/21/2018 | Content area: CPO/CTA
The CFTC’s enforcement division either had a bad FY 2017 or a very good FY 2018.   The Commission’s annual report card on its enforcement numbers anno...
11/06/2018 | Content area: CPO/CTA
With less than two months before CFTC rules would have lowered the threshold of gross notional swaps – causing more entities to have to register as sw...
11/01/2018 | Content area: CPO/CTA
September 2020 may seem way off but the CFTC’s chief economist warns regulators must prepare for that date when Phase 5 of the agency’s swaps margin r...
11/01/2018 | Content area: Broker-Dealer | CPO/CTA
In an effort to “minimize potential market disruptions” upsetting firms that deal with swaps and have the good fortunate to report to two regulators, ...
10/25/2018 | Content area: CPO/CTA
Both the SEC and the CFTC have staked regulator claims in the burgeoning virtual currency space. Hand the CFTC a victory in a recent court ruling but ...
10/11/2018 | Content area: CPO/CTA
It seems the way many CPOs/CTAs have computed their quarterly financial ratios reported to the NFA hasn’t added up. The NFA has released new guidance ...
10/11/2018 | Content area: CPO/CTA
Declare it a smooch from the CFTC. The five commissioners voted unanimously to issue a new proposed rule that falls under the Commission’s Project KIS...
9/20/2018 | Content area: CPO/CTA
Be on the lookout for signs of a trader who immediately cancels futures orders just after placing them.   That behavior is highlighted in a new CFTC e...
8/30/2018 | Content area: CPO/CTA
It’s the IT equivalent of leaving your front door open to the world.   The CFTC has fined the futures commission merchant AMP Global Clearing in Chica...
8/30/2018 | Content area: CPO/CTA
Imagine informing your regulator about the need for more compliance resources. In effect, that’s one of the elements the CFTC will require in the annu...
8/30/2018 | Content area: CPO/CTA
With Senate confirmation Aug. 28 of two CFTC commissioner nominees, Dawn Stump and Dan Berkovitz need only to be sworn in to assume their new position...
8/13/2018 | Content area: CPO/CTA
Halloween this year brings tricks and treats – and the start of the NFA’s rule on virtual currency disclosures. October 31 is the start date for its n...
8/09/2018 | Content area: CPO/CTA
In the CFTC’s latest move to “foster cross-border cooperation and show deference to home country regulation that is deemed comparable to the Commissio...
7/26/2018 | Content area: CPO/CTA
The NFA is proposing a requirement that CPOs, CTAs, FCMs and others disclose the risks inherent in virtual currencies. The SRO states in a new propose...
7/26/2018 | Content area: CPO/CTA
The SEC had previously increased position limits for equity security options so new action by the CFTC would create “a level regulatory playing field”...
7/26/2018 | Content area: CPO/CTA
The CTC’s latest proposal, adopted by an unanimous vote, is touted to “reduce unnecessary burdens on registrants and market participants by simplifyin...
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