Conquering Current Compliance Challenges
Oct. 9, 2019 | 2:00 - 2:30 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
1/02/2019 | Content area: Investment Adviser
If your firm is in the middle of – or scheduled to begin – an OCIE exam, the partial federal government shutdown that began Dec. 22 provides you with ...
1/02/2019 | Content area: Investment Adviser
However it came about that you were named the CCO of your firm, you need to know the basics of what the Investment Advisers Act of 1940 demands of you...
1/01/2019 | Content area: Investment Adviser
View the latest Conquering Current Compliance Challenges webinar.
12/20/2018 | Content area: Investment Adviser
A new legal settlement – fining Barclays Bank $15 million – recounts the extraordinary steps the firm’s CEO took to try to unmask two whistleblowers. ...
12/20/2018 | Content area: Investment Adviser | Private Fund
There may be 12 days of Christmas but you can count six regulations – four final rules and two proposals – newly gifted from SEC commissioners. Only o...
12/20/2018 | Content area: Investment Adviser
The Mayfield Heights, Ohio-based advisory firm Ancora Advisors ($4.6B in AUM) knew it had violated the SEC’s pay-to-play rule, which meant a “two-year...
12/20/2018 | Content area: Investment Adviser | Private Fund
As time ticks down to the UK’s break from the EU next March 29, great uncertainty surrounds the issue of Brexit. But if your firm is based in the U.S....
12/20/2018 | Content area: Investment Adviser
With the SEC mired in figuring out whether to clarify fiduciary duty standards, the agency may wish to consider one hiding in plain sight. The CFP Boa...
12/14/2018 | Content area: Investment Adviser
In recognition that the way the world communicates has changed, OCIE has released its 5th risk alert of the year. It features observations examiners c...
12/13/2018 | Content area: Investment Adviser
In a not-totally-unexpected move, the SEC is targeting advisers that may have placed clients in higher fee mutual fund share classes yet elected not t...
12/13/2018 | Content area: Investment Adviser
Next year promises to be a monumental one for investment advisers and broker-dealers. The SEC has released its regulatory calendar and it states the C...
12/13/2018 | Content area: Investment Adviser
They put a lot of thought into their dastardly plan – and these cyber criminals knew they had to act quickly.   IA Watch agreed not to identify the CC...
12/13/2018 | Content area: Investment Adviser
OCIE has made no secret of its interest in undisclosed compensation and failures to seek best execution. So the $598,000 in fines assessed against Lan...
12/13/2018 | Content area: Investment Adviser
The Golden State takes pleasure in being the first in the nation at things and this record continues after the state has passed the country’s first la...
12/06/2018 | Content area: Investment Adviser
If a legal action were a prize fight, the advisers would have lost in a knockout. A Kentucky judge has dismissed all claims by a group of major advise...
12/06/2018 | Content area: Investment Adviser
Deborah Lamb sat parked in her car, waiting her turn in line at a drive-through coffee kiosk when it struck. “I thought my car was going to explode,” ...
12/06/2018 | Content area: Investment Adviser
The view of one CCO about the effectiveness of e-mail reviews isn’t an outlier.   “My personal opinion is that routine e-mail reviews are not worth do...
12/06/2018 | Content area: Investment Adviser
It sounds like an exterminator’s dream. A “bug bounty.” But it’s really a way to discover flaws in your software before a cyber bad guy finds them and...
12/06/2018 | Content area: Investment Adviser
You’re going to love our latest innovation at www.regcompliancewatch.com: the ability to save your searches as a Compliance Alert.   This means anytim...
12/06/2018 | Content area: Investment Adviser
Despite the comment period for the SEC’s trio of fiduciary duty-related proposals closing this past summer, the industry continues to weigh in on prop...
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