Conquering Current Compliance Challenges
July 10, 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

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

 
INVESTMENT ADVISER NEWS & GUIDANCE
8/02/2018 | 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 ...
7/12/2018 | Content area: Investment Adviser
If you’re going to take your marketing advice from a chiropractor, you could expect to feel a pinch.   Three investment advisers and Leonard Schwartz,...
7/12/2018 | Content area: Investment Adviser | Private Fund
The world’s a tiny place when it comes to financial services. Private fund managers are reaching out to new places, attracting new investors. But when...
7/12/2018 | Content area: Investment Adviser | Broker-Dealer
An SEC regulatory filing indicates that Charles Schwab will pay $2.8 million to settle a recent lawsuit claiming it failed to file suspicious activity...
7/12/2018 | Content area: Investment Adviser | Private Fund
The Advisers Act’s pay-to-play rule clearly states that a violation of the rule prohibits an adviser from receiving compensation from a public pension...
7/11/2018 | Content area: Investment Adviser
OCIE’s second risk alert of the year has hit the street and it includes a litany of actions to avoid if you wish to skip trouble from examiners.   The...
7/05/2018 | Content area: Investment Adviser
Those 13 lucky advisers that recently settled SEC enforcement actions for failing to file required Form PFs haven’t yet shaken the agency (PF Watch, J...
7/05/2018 | Content area: Investment Adviser
The same week that the Supreme Court dealt a blow to the SEC’s ALJ system, lawyers filed a challenge over whether the agency has the legal authority t...
7/05/2018 | Content area: Investment Adviser
The SEC’s revised approach to liquidity risk management gives advisers extra time to describe their programs, which will now only need to be a narrati...
7/05/2018 | Content area: Investment Adviser
Among numerous proposed revisions to the SEC’s whistleblower rules – many of them technical tweaks – is one that clarifies that the agency wouldn’t of...
7/05/2018 | Content area: Investment Adviser
Ten years after the Commission first proposed a rule that would eliminate decades worth of exemptive orders for ETFs, it’s back with a new proposal th...
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