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


 
CUSTODY NEWS & GUIDANCE
6/07/2019 | Content area: Investment Adviser
One of the biggest obstacles preventing investment advisers from investing in FinTech and digital currencies is a familiar nemesis: the custody rule. ...
5/09/2019 | Content area: Investment Adviser
If you’re having difficulty making the case for sufficient resources for your firm’s compliance program, you may want to consider laying the latest sp...
3/14/2019 | Content area: Investment Adviser
A new letter from the SEC’s Division of Investment Management seeks your guidance on how the agency should deal with the non-delivery versus payment c...
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...
1/10/2019 | Content area: Investment Adviser | Private Fund
In what may be the last SEC no-action letter released for some time due to the government shutdown, the Division of Investment Management last month g...
10/25/2018 | Content area: Investment Adviser
Consider custody the gift that keeps on giving. The latest twist of the screw comes from Pennsylvania, where state securities officials last month rel...
8/09/2018 | Content area: Investment Adviser
Investment adviser execs are bullish about their business prospects and foresee substantial increases in headcount and AUM over the next one year and ...
8/02/2018 | Content area: Investment Adviser
If you’re like most advisers who answered IA Watch’s recent industry survey, you’ve not yet taken up the topic of cryptocurrencies with your staff.   ...
6/14/2018 | Content area: Investment Adviser
Reports have persisted for months that the SEC would follow up its 2017 custody guidance to address the issue of “inadvertent custody” granted to advi...
5/03/2018 | Content area: Investment Adviser
While The Robare Group’s enforcement case remains unresolved, the SEC isn’t giving up on the contention that the use of the word ‘may’ in describing t...
3/29/2018 | Content area: Investment Adviser
As last week’s story ran on how Fidelity handles custody following the SEC’s 2017 guidance, the custodian was moving to announce a major change (IA Wa...
3/23/2018 | Content area: Investment Adviser
Three years ago, we reported how some OCIE examiners were issuing deficiencies because they interpreted the way Fidelity’s contract was written gave a...
3/15/2018 | Content area: Investment Adviser
The client agreement between Schwab and an investor no longer includes language giving the authority to make first-party money wire transfers. Count t...
3/08/2018 | Content area: Investment Adviser
When the SEC changed the face of its custody rule last year, advisers and custodians were forced to act. Among the revisions made by Pershing Adviser ...
3/08/2018 | Content area: Investment Adviser
The confusing custody rule may seem even more opaque after hearing about the $60,000 fine assessed against Financial Fiduciaries ($141M in AUM) in Wau...
3/01/2018 | Content area: Investment Adviser
It’s been one year since the SEC issued its long-awaited guidance concerning custody (IA Watch, Feb. 23, 2017), yet confusion continues to reign. This...
1/04/2018 | Content area: Investment Adviser
It would be fair to declare John Rogicki as a CCO who went bad. The former compliance officer at Train, Babcock Advisors ($434M in AUM) in New York si...
11/22/2017 | Content area: Investment Adviser
It’s the gift that keeps on giving: the challenge of mastering the SEC’s custody rule. The puzzle takes a new turn with Form ADV season approaching fo...
9/21/2017 | Content area: Investment Adviser
This week, representatives from the Investment Adviser Association are scheduled to meet with staff in OCIE and the Division of Investment Management ...
8/24/2017 | Content area: Investment Adviser
That new guidance from the SEC earlier this year about the custody rule has made its way to OCIE exams (IA Watch, Feb. 23, 2017).   A CCO reports to I...
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