Commitment to Compliance
September 17 | Philadelphia
Conquering Current Compliance Challenges
Sept. 26, 2018 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: August 15, 2018 
  Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

The SEC Examinations Priorities Handbook
Includes: 28 Best Practices, 20 Document Request Letters and 6 OCIE Risk Alerts

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

 
INVESTMENT ADVISER NEWS & GUIDANCE
8/16/2018 | Content area: Investment Adviser
Jeffrey Davis, an Ameriprise rep based in Virginia, notified the dual registrant of the name of his outside business. Later, when Davis fraudulently s...
8/16/2018 | Content area: Investment Adviser
May you never have to answer this question: Must we disclose a disciplinary event in our Form ADV brochure and distribute the document to our clients?...
8/16/2018 | Content area: Investment Adviser
As SEC commissioners consider what to do next about their fiduciary duty proposals, supporters for a best interest standard may have a new poster boy....
8/16/2018 | Content area: Investment Adviser
A new settlement with an adviser first caught up in an OCIE sweep exam launched four years ago looking at wrap fee programs attests to the need for sp...
8/09/2018 | Content area: Investment Adviser
Now that the SEC has feedback on its three fiduciary duty-related proposals, the challenge for commissioners will be to take in all of the diverging v...
8/09/2018 | Content area: Investment Adviser
Even before a new law granted immunity to advisers who undergo training to spot financial exploitation of the elderly (IA Watch, May 24, 2018), Nathan...
8/09/2018 | Content area: Investment Adviser
Fire scorches California so frequently that nature’s rage could even spark a certain amount of complacency.   “We always laughed at the business conti...
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
The previously signaled next OCIE sweep exam scrutinizing how advisers protect their sensitive data will be kicked off sometime in the next year (IA W...
8/02/2018 | Content area: Investment Adviser
An SEC official recently said at an IA Watch conference that he was looking forward to using new Form ADV data to better target firms to examine.   Th...
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.   ...
8/02/2018 | Content area: Investment Adviser
The August 7 deadline for comments on the trio of SEC fiduciary duty-related proposals (IA Watch, April 18, 2018) is fast closing in and SEC Commissio...
8/02/2018 | Content area: Investment Adviser
IA Watch spoke with Thomas Smedinghoff, of counsel with Locke Lord in Chicago, about what advisers should know about the EU's General Data Protection ...
7/26/2018 | Content area: Investment Adviser
IA Watch has obtained a copy of an OCIE sweep exam request letter tied to how advisers are handling cryptocurrencies.   The exam letter probes whether...
7/26/2018 | Content area: Investment Adviser
The Advisers Act’s advertising rule may bear a few gray hairs as it nears 60 years old, but its age isn’t stopping many firms from diving into new med...
7/26/2018 | Content area: Investment Adviser
Cornelius Peterson hands himself in next month to begin serving a 20-month prison sentence. His partner in crime, James Polese, learns his fate next m...
7/26/2018 | Content area: Investment Adviser | Broker-Dealer
Talk of CCO liability has diminished of late but two new SEC enforcement actions may spark some fresh whispers about the risks of the job.   In one, M...
7/19/2018 | Content area: Investment Adviser
That new OCIE risk alert represents only the latest effort by the SEC to drill into firms their obligation to seek best execution (IA Watch, July 11, ...
7/19/2018 | Content area: Investment Adviser
Take two teenaged hackers in Ukraine. Add a former Morgan Stanley investment adviser who moonlights as a pastor and his friend, a former rep. Toss in ...
7/19/2018 | Content area: Investment Adviser
The elderly client had lost her husband only three months before when her adviser, George Taylor of Temenos Advisory ($107M in AUM), persuaded her to ...
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