Conquering Current Compliance Challenges
Aug. 14, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
ANNUAL REVIEW NEWS & GUIDANCE
3/14/2019 | Content area: Investment Adviser
Gooder can clearly do better. Grenville Gooder, Jr., a 55-year securities industry veteran, and his SEC-registered advisory firm Ascension Asset Manag...
1/31/2019 | Content area: Investment Adviser
Undoubtedly, having a process for your annual review relieves you of worry and sets the tone for accomplishing this critical task (IA Watch, Jan. 14, ...
1/14/2019 | Content area: Investment Adviser
Managing Director Rob Tull of Progressive Compliance Advisors shares his process for conducting an annual review. Tull has honed his process over the...
10/13/2016 | Content area: Investment Adviser
Along with adopting and implementing written policies and procedures reasonably designed to prevent violations of the federal securities laws and desi...
2/11/2016 | Content area: Investment Adviser
Jotting down a note helps ensure you return from the grocery store with all the items you need so it’s likely to work for the annual review as well.  ...
11/09/2015 | Content area: Investment Adviser
Considering that all RIA CCOs must achieve an annual review each year, it’s worth hearing from a peer to gain ideas for improving your approach.   IA ...
8/18/2015 | Content area: Investment Adviser
When the SEC releases three enforcement cases on the same day – tied to the same issue – you know a message is being sent. The message: violations of ...
6/25/2015 | Content area: Investment Adviser
If your firm skimps on compliance resources and you feel you’re wearing too many hats, you might want to make the powers that be at your firm aware of...
5/19/2015 | Content area: Investment Adviser | Private Fund
Three strikes and you’re out. A critical SEC exam best practice is to make sure you address and correct deficiencies previously cited by the Commissio...
3/05/2015 | Content area: Investment Adviser | Private Fund
It’s right there in black and white in current SEC exam document request letters. Before arriving on-site at an advisory firm, Commission examiners ar...
2/03/2015 | Content area: Investment Adviser | Private Fund
Believe it or not it’s been more than 10 years since the annual review requirement came into place. While the annual review can seem like a never-endi...
4/14/2014 | Content area: Investment Adviser | Private Fund
One test to help you assess whether clients are being treated fairly is to examine performance dispersion. Run a report on performance of all client a...
2/03/2014 | Content area: Investment Adviser
Two years after SEC commissioners failed to advance the case against former Ferris, Baker Watts General Counsel Ted Urban (IA Watch, Feb. 6, 2012), co...
10/21/2013 | Content area: Investment Adviser | Private Fund
It's not uncommon for institutional investors to ask an adviser for copies of its last two annual reviews. "I'm more than happy to show it to them," s...
5/06/2013 | Content area: Investment Adviser
If you've ever questioned the wisdom of e-mail monitoring, consider this story. A CCO searches for the word "offer" and discovers an exchange in which...
2/04/2013 | Content area: Investment Adviser
Some CCOs never appear before their firm's board. In other cases, a board meeting isn't gaveled into order without compliance being seated. You can ga...
1/07/2013 | Content area: Investment Adviser
Only broad guidelines exist from the SEC on how you should go about your annual review, which is why it pays to hear best practices from your peers so...
11/26/2012 | Content area: Investment Adviser
If variety is the spice of life, then you can wear a gourmet's hat when it comes to cooking up your annual review (IA Watch, April 2, 2012). Of course...
4/02/2012 | Content area: Investment Adviser
Unless you're a compliance officer for a mutual fund, you can decide whether to produce a final written report on your annual review. Your peers welco...
3/07/2011 | Content area: Investment Adviser
Conducting an annual review of your compliance program forms a pillar of the SEC's expectations for RIA CCOs. How you do it depends largely on your cr...
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