Conquering Current Compliance Challenges
Sept. 11, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 12, 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
8/15/2019 | Content area: Investment Adviser
Ed Butowsky has a lot going on.   Since 2005, he has run Chapwood Capital Investment Management ($191M in AUM) in Plano, Texas, with little fanfare. B...
8/15/2019 | Content area: Investment Adviser
Our recap of recent SEC exam activity includes three new document request letters obtained by RCW (IA Watch, Aug. 1, 2019).   The first exam letter di...
8/15/2019 | Content area: Investment Adviser
It’s happened again. The SEC Aug. 13 settled an enforcement action – this time against an exempt-reporting adviser – for failing to disclose conflicts...
8/15/2019 | Content area: Investment Adviser | Broker-Dealer
The SEC Aug. 15 released a series of videos aimed at educating retail investors on the differences between investment advisers and broker-dealers in a...
8/15/2019 | Content area: Investment Adviser
SEC Commissioner Hester Peirce would like to see “more focused momentum” at the Commission toward finalizing the regulatory regime for digital assets....
8/15/2019 | Content area: Investment Adviser
A Massachusetts investment adviser should have to return nearly more than $275,000 he took from elder friends and clients in what amounted to “an elab...
8/15/2019 | Content area: Investment Adviser
A federal judge has frozen $8 million in assets of a self-described “financial guru” whom the SEC alleges bilked retail investors in a crypto-currency...
8/08/2019 | Content area: Investment Adviser
Hundreds of industry professionals signed on to a petition started by two NFA board members – one an Illinois CPO and the other a Colorado CTA – implo...
8/08/2019 | Content area: Investment Adviser
OCIE examiners visited the mutual fund adviser with one goal: to assess if the fees it receives for shareholder services were legit. “If you’re colle...
8/08/2019 | Content area: Investment Adviser
In the end, Dawn Bennett received one year in prison for every $1 million she took from investors. We’ve shared with you before the tale of the Maryla...
8/08/2019 | Content area: Investment Adviser
It’s rare to see the SEC simultaneously issue two “no-action” letters with identical responses but that occurred Aug. 6 as separate closed-end funds g...
8/08/2019 | Content area: Investment Adviser
A new Investment Company Institute report on proxy voting released July 29 reveals that fund advisers don’t mechanically vote or take a one-size-fits-...
8/01/2019 | Content area: Investment Adviser
Two cases within one week involving different regulators espouse the value of checking out staff and prospective employees. OCIE’s latest risk alert s...
8/01/2019 | Content area: Investment Adviser
Sometimes predictions come true. Several CCOs report to RCW that their OCIE exams have stretched out due to the government’s record long shutdown earl...
8/01/2019 | Content area: Investment Adviser
The SEC has charged a Massachusetts dual registrant, alleging that the firm failed to disclose a revenue sharing conflict of interest that generated s...
8/01/2019 | Content area: Investment Adviser
It’s a tight labor market for compliance officers but an open mind—and a few, key focused questions—might just help you build your A-Team.   “One of t...
7/25/2019 | Content area: Investment Adviser
The recent earthquakes in southern California jolted even long-time residents used to a sometimes unsteady ground.   “It was like a rolling motion. It...
7/25/2019 | Content area: Investment Adviser
Peter de Roetth opened Account Management ($135M in AUM) in Boston in 1963. One of his earliest clients was a woman who stuck with him for decades. In...
7/25/2019 | Content area: Investment Adviser
The same day OCIE put out its latest risk alert the agency held another outreach meeting, this time in Philadelphia (IA Watch, July 23, 2019). A CCO i...
7/25/2019 | Content area: Investment Adviser
The SEC just can’t escape legal challenges to its system of administrative law judges (IA Watch, July 18, 2019). While Ray Lucia’s case progresses, an...
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