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

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

6/26/2015 | Content area: Investment Adviser
You may wish to do more before deciding an access person’s personal trades don’t need to be reviewed because they supposedly fall under the code of et...
12/09/2014 | Content area: Investment Adviser | Private Fund
As a compliance officer, your role must include examining the personal securities trading of your firm’s employees. The SEC’s Office of Inspector Gene...
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...
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Adoption of code of ethics. If you are an investment adviser registered or required to be registered under section 203 of the Act, you must establ...
6/23/2014 | Content area: Investment Adviser
Michael Lewis's book Flash Boys has had a profound effect on Craig Watanabe, COO at Penniall & Associates ($851M in AUM) in Pasadena, Calif. He was so...
6/03/2013 | Content area: Investment Adviser
You can call up a website on the other side of the planet with a click of a mouse, yet you may be surprised by how many of your peers still use paper ...
9/10/2012 | Content area: Investment Adviser
It's as constant as the flow of the Mississippi: the stress to chase better returns. The pressure has only hardened in the yo-yo market of the last fe...
5/24/2010 | Content area: Investment Adviser
You won't find any mention of fair allocation in the Advisers Act but the concept has evolved through SEC no-action letters and enforcement cases, and...
8/31/2004 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
The Securities and Exchange Commission is adopting a new rule and related rule amendments under the Investment Advisers Act of 1940 that require regis...
6/14/2001 | Content area: Investment Adviser
This speech from 2001 outlines SEC expectations for best execution and valuation, especially for fund advisers.