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

 
CFTC: RECORDKEEPING OVERVIEW
Just as investment advisers registered with the SEC must comply with books and records requirements, so too must CFTC-registered entities abide by its books and records rule.
 
It mirrors the SEC’s in many ways. For instance, records from the most recent two years must be “readily accessible” while documents going back five years but be kept.
 
There are some differences that have challenged dual-registrants. Controversy about some of the CFTC’s requirements has caused the Commission to backtrack. For example, around the recording of swaps conversations.
 

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