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


 
TRADING NEWS & GUIDANCE
1/17/2019 | Content area: Investment Adviser
IA Watch has obtained a copy of an Excel file demonstrating the trade blotter format OCIE would like firms to submit during an SEC exam.   The new for...
9/27/2018 | Content area: Investment Adviser
The end of September represents the end of the SEC’s 2018 fiscal year and the inevitable analysis of its Enforcement Division’s statistics. But the di...
9/20/2018 | Content area: Investment Adviser
If your firm pays a radio station to run an ad, you better tune in.   That’s one lesson from the SEC enforcement action against Creative Planning ($36...
8/23/2018 | Content area: Investment Adviser
BKS Advisors had a compliance manual that included a “Block Order Allocation” policy aimed at preventing unfair trade allocations.  But that policy di...
8/23/2018 | Content area: Investment Adviser
Cross trading practices inconsistent with its compliance P&Ps, regulatory compliance manual and Forms ADV have yielded SEC charges against a New York-...
5/31/2018 | Content area: Investment Adviser
What punishment would you mete out to staff who ignored your firm’s trading policies? A new SEC OIG report to Congress shows the Commission suspended...
3/15/2018 | Content area: Investment Adviser
An SEC enforcement initiative aimed at combatting “cherry-picking” continues to bear fruit. The initiative—led by the Commission’s Los Angeles Regiona...
2/15/2018 | Content area: Investment Adviser
The SEC’s FY 2019 budget request tackles a three years running flat budget and two-year hiring freeze in a bid to stay on top of the growing and ever-...
2/15/2018 | Content area: Investment Adviser | Broker-Dealer
Deutsche Bank Securities will be reimbursing certain of its commercial mortgage-backed securities customers who overpaid for CMBS after being misled a...
10/05/2017 | Content area: Investment Adviser
The regulatory landscape’s dotted with enforcement cases for violations related to cross trades and principal trades. With differing rules, missteps c...
8/10/2017 | Content area: Investment Adviser
Your most talented trader orders a block of bonds but what comes back fails to fill the entire allocation. What do you do?   Many of your peers answer...
6/29/2017 | Content area: Investment Adviser
A sentence has been handed down in a cherry-picking case that highlighted the SEC’s ever-increasing power to analyze trade data to detect suspicious t...
6/01/2017 | Content area: Investment Adviser
If you don’t run the numbers in helping to ensure fair trading allocations, know OCIE will. A new cherry-picking enforcement action again stresses tha...
5/10/2017 | Content area: Investment Adviser
The Advisers Act expects that access persons will report their securities transactions and that you’ll review them. A former SEC staffer found there’s...
5/10/2017 | Content area: Investment Adviser
If your firm’s Form ADV brochure trumpets a staffer’s education or certification, make sure you confirm the claim.   That’s one lesson from the SEC’s ...
5/04/2017 | Content area: Investment Adviser
In recent years, OCIE examiners have been digging into “reverse churning” – parking a client in a fee-based advisory account and taking quarterly fees...
4/27/2017 | Content area: Investment Adviser
Making $6,000 in under 10 minutes would make a lot of people’s day.   The problem for Kevin Amell is that that option trade was based on fraud, accord...
4/07/2017 | Content area: Investment Adviser
Besides the compliance rule, only one other Advisers Act rule mentions the “chief compliance officer”: Rule 204A-1 (code of ethics) – and all but one ...
1/26/2017 | Content area: Investment Adviser
The SEC Jan. 25 charged a Massachusetts-registered investment adviser and its managing partner, CCO and sole employee Michael Breton with cherry-picki...
1/05/2017 | Content area: Investment Adviser
In an SEC enforcement first, the Commission has charged hacking into the computer networks of two prominent but unidentified New York-based law firms ...
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