Conquering Current Compliance Challenges
June 12, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

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

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

 
BEST EXECUTION REGULATORY GUIDANCE
10/09/2014 | Content area: Investment Adviser
The advent of high-frequency trading and the use of so-called dark pools has shifted the training dynamic. Now, the shrewd compliance officer gets tra...
12/04/2013 | Content area: Investment Adviser
Click here to open a Word file that is a best execution checklist. This document comes courtesy of National Compliance Services in Delray Beach, Fla. ...
10/21/2013 | Content area: Investment Adviser
The SEC's latest message via best execution enforcement drills a dually-registered firm with fines and penalties in excess of $1 million for purchasin...
8/13/2012 | Content area: Investment Adviser
It appears as a constant challenge: how can you satisfy your obligation to seek best execution when transparency lacks in fixed-income transactions li...
11/01/2010 | Content area: Investment Adviser
SEC rules don't spell out how to obtain best execution but your fiduciary responsibilities require you to try to achieve the best deal for clients.Thi...
7/24/2006 | Content area: Investment Adviser
This is 2006 Commission guidance around soft dollars, best execution and brokerage relationships.
6/14/2001 | Content area: Investment Adviser
This speech from 2001 outlines SEC expectations for best execution and valuation, especially for fund advisers.
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