Conquering Current Compliance Challenges
Nov. 13, 2019 | 2:00 - 2:30 PM EST

Ideas to Infuse your Firm’s Culture with a Heightened
Sense of Ethics

Oct. 15, 2019 | 2:00 - 3:00 PM EST
 
RECORDED WEBINARS

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


 
INVESTMENT ADVISER NEWS & GUIDANCE
10/10/2019 | Content area: Investment Adviser
The adviser sought to send a wire request to a client’s custodian asking for $150,000 to be transferred to the client’s bank account. Everything seeme...
10/10/2019 | Content area: Investment Adviser
The Oct. 3 e-mail from Clear Rock Advisors ($233M in AUM) in Austin, Texas, reads very familiar. The firm admitted that its e-mail system “was comprom...
10/10/2019 | Content area: Investment Adviser
Every eight seconds, another American turns 65 years old. As the baby boom gives way to the silver tsunami, investment advisers and broker-dealers wil...
10/10/2019 | Content area: Investment Adviser
The SEC announced Oct. 9 more than 20 asset management professionals who will advise the Commission on industry issues via the newly created Asset Man...
10/10/2019 | Content area: Investment Adviser
The dinner at the Wynn Las Vegas hotel in 2007 proved memorable to hedge fund manager Steve Eisman and adviser Wing Chau but for entirely different re...
10/07/2019 | Content area: Investment Adviser
The dinner at the Wynn Las Vegas hotel in 2007 proved memorable to hedge fund manager Steve Eisman and adviser Wing Chau but for entirely different re...
10/03/2019 | Content area: Investment Adviser
It certainly was unusual for SEC commissioners to meet publicly in August not to pass a new rule but to give their nod of approval to new staff guidan...
10/03/2019 | Content area: Investment Adviser
In the same week the SEC announced its second flood of settlements in its mutual fund share class initiative (see related story), Commonwealth Equity ...
10/03/2019 | Content area: Investment Adviser
You may want to take another close look at that new proxy voting guidance released by the SEC Aug. 21 (IA Watch, Aug. 22, 2019). Just over a month aft...
9/30/2019 | Content area: Investment Adviser
The SEC made good on its threat to come down hard on IAs that didn’t self-report under the Commission’s controversial Share Class Selection Disclosure...
9/26/2019 | Content area: Investment Adviser
In the 27 years since the SEC approved the first ETF – a fund structure securities laws wouldn’t permit – the agency has released more than 300 exempt...
9/26/2019 | Content area: Investment Adviser
An open question is circulating among a group of advisers about whether firms that serve institutional clients – yet also feature wrap fee programs th...
9/26/2019 | Content area: Investment Adviser
Check Raymond James’ Form ADV brochure after the SEC assessed an $18 million penalty for failing to do what its compliance P&Ps pledged – annual revie...
9/26/2019 | Content area: Investment Adviser
The curious case of an airline baggage handler securing $172 million in AUM speaks to the incredible power of social media. In a one-year period after...
9/19/2019 | Content area: Investment Adviser
Eyes are peering upon a draft that could eventually become the SEC’s proposed new IA advertising rule. In yet another sign that a long-awaited proposa...
9/19/2019 | Content area: Investment Adviser
Ignoring signs of trouble when it comes to moving money proved costly for one firm. The SEC says the former broker-dealer Vandham neglected to respond...
9/19/2019 | Content area: Investment Adviser
A failure to conduct reviews at specified intervals to determine if advisory accounts remained suitable for clients or if their assets should be moved...
9/19/2019 | Content area: Investment Adviser
The SEC Sept. 16 charged two Prudential Financial subsidiaries with failing to disclose conflicts tied to a 2006 reorganization aimed at taking advant...
9/19/2019 | Content area: Investment Adviser
In another effort to simplify the Volcker rule, five federal regulators – including the SEC and the CFTC – have issued a 504-page final rule tweaking ...
9/12/2019 | Content area: Investment Adviser
As an attorney, Dan Ball would be hired by investment advisers to advise them on legal and compliance issues. Then, one long-time client had an epipha...
© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US