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
7/05/2018 | Content area: Investment Adviser
This spring’s release by the SEC of three fiduciary duty-related proposals (IA Watch, April 18, 2018) “encouraged” the agency’s investor advocate beca...
7/03/2018 | Content area: Investment Adviser
In the three months since SEC commissioners voted 3-2 to propose a backtrack on planned mutual fund adviser risk management reporting no minds changed...
6/28/2018 | Content area: Investment Adviser
As a financial planner with 40 years in the business, Ray Lucia believed he was on track for his own comfortable retirement as he hit 60.   “I had it ...
6/28/2018 | Content area: Investment Adviser
The official statement from the SEC following the Supreme Court’s Lucia decision is that the Commission is “reviewing the opinion” and “will determine...
6/28/2018 | Content area: Investment Adviser
You hear it so often it could be a commercial’s refrain: “culture of compliance.” But what exactly does that phrase mean?   Steve Levine, associate re...
6/22/2018 | Content area: Investment Adviser
U.S.-based advisers that sell into the EU could be excused if they’re still perplexed by what the General Data Protection Regulation means to them one...
6/22/2018 | Content area: Investment Adviser
By a 7-2 vote, the nation’s highest court June 21 sided with an investment adviser who had challenged the constitutionality of the SEC’s ALJ system. H...
6/21/2018 | Content area: Investment Adviser
Contrast the fanfare the SEC trumpeted when it announced its mutual fund share class initiative in February with the whimper the agency blurted out wh...
6/21/2018 | Content area: Investment Adviser
Few parts of the country spar with hurricanes like southeastern Texas. But last year’s Hurricane Harvey slammed Houston and surrounding areas with a r...
6/21/2018 | Content area: Investment Adviser
At this stage, the SEC’s only asking what you think about requiring investment advisers to be licensed or to put up a bond, akin to what broker-dealer...
6/21/2018 | Content area: Investment Adviser
It could not have been an easy e-mail to write for Crawford Lake Capital Management ($679M in AUM). The Lakewood, N.J.-based adviser recently e-mailed...
6/21/2018 | Content area: Investment Adviser
Family offices can avoid SEC registration provided they stay within the confines of Advisers Act rule 202(a)(11)(G)-1 (family offices). This means the...
6/21/2018 | Content area: Investment Adviser
As Congress debates whether the SEC should have more than a five-year statute of limitations to bring enforcement actions, New York’s highest court ha...
6/14/2018 | Content area: Investment Adviser
Reports have persisted for months that the SEC would follow up its 2017 custody guidance to address the issue of “inadvertent custody” granted to advi...
6/14/2018 | Content area: Investment Adviser
With only days to go before the nation’s highest court rules in an IA enforcement case challenging the SEC’s use of administrative law judges, lawmake...
6/14/2018 | Content area: Investment Adviser
Not long after Washington streets cleared of fans celebrating their hockey team winning the cherished Stanley Cup, a much smaller group of advisers he...
6/08/2018 | Content area: Investment Adviser
Many of your experienced peers say the growing complexity of business arrangements makes uncovering conflicts of interest a stubborn challenge.   As w...
6/08/2018 | Content area: Investment Adviser
No one questions that the number of OCIE exams of advisers is increasing, and even more may occur should SEC Chairman Jay Clayton coax more funding ou...
6/08/2018 | Content area: Investment Adviser
The Specialized Information Publishers Association bestowed two awards on IA Watch June 6. We won a second place award for Best Spot News for a story ...
6/08/2018 | Content area: Investment Adviser
First FINRA created the ability of a broker to stop a money transfer if it suspects senior fraud (BD Watch, Jan. 4, 2018). Now the SEC’s Division of I...
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