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
4/12/2018 | Content area: Investment Adviser
The first risk alert from OCIE in 2018 lists fee and expense issues that commonly cause exam deficiencies.   “Advisers should review their practices, ...
4/12/2018 | Content area: Investment Adviser
File this under the boys scouts’ rule to be prepared. If you’re a real estate adviser, know that some OCIE examiners may question your right to be an ...
4/12/2018 | Content area: Investment Adviser
The window period to take advantage of the SEC’s Share Class Selections Disclosure Initiative is fast drawing to a close with its attendant June 12 de...
4/12/2018 | Content area: Investment Adviser
Texas-sized returns of up to 36% per year were being touted to elderly investors located in the Lone Star state and Louisiana. “Polished sales pitches...
4/12/2018 | Content area: Investment Adviser
The Supreme Court made it clear in February that whistleblower anti-retaliation protections extend to only those who bring their allegations to the SE...
4/12/2018 | Content area: Investment Adviser
Mark your calendar for next Wednesday. That’s when SEC commissioners plan to consider proposals finally revealing the agency’s stance on “a standard o...
4/05/2018 | Content area: Investment Adviser
One aftermath of the surge in OCIE exams is that the percentage of reviews referred to the SEC’s Enforcement Division has fallen to a low of 5%. Howev...
4/05/2018 | Content area: Investment Adviser
The crackdown on initial coin offerings continues.  Despite an SEC report last July warning the industry that digital securities can be, and often are...
4/05/2018 | Content area: Investment Adviser
For the SEC’s Enforcement Division it is a textbook case illustrating one of the Commission’s current core focus areas—unsophisticated retirees liquid...
4/05/2018 | Content area: Investment Adviser
Attendees at IA Watch’s recent compliance conference in Washington, D.C., were asked how their compliance budgets are changing. Although not a scienti...
3/29/2018 | Content area: Investment Adviser
It’s not a good sign when an adviser’s employee discovers he’s the firm’s CCO by reading its Form ADV.   But that’s how Richard Tomney found out he wa...
3/29/2018 | Content area: Investment Adviser
Before you invest in new software, document what it is you seek and repeat it like a mantra.   Write down “what you’re trying to accomplish” and “keep...
3/29/2018 | Content area: Investment Adviser
As last week’s story ran on how Fidelity handles custody following the SEC’s 2017 guidance, the custodian was moving to announce a major change (IA Wa...
3/29/2018 | Content area: Investment Adviser
With another election nearing, this may be a good time to remind staff of your pay-to-play policies – especially after two more advisers have applied ...
3/27/2018 | Content area: Investment Adviser
As a reflection of the risks cyber bad guys present, OCIE plans to launch its third cybersecurity sweep exam in four years (IA Watch, June 7, 2016).  ...
3/23/2018 | Content area: Investment Adviser
We’ve all been there. You spend loads of time and tons of money investigating and then buying a new piece of software only to find it gathers dust for...
3/23/2018 | Content area: Investment Adviser
Three years ago, we reported how some OCIE examiners were issuing deficiencies because they interpreted the way Fidelity’s contract was written gave a...
3/23/2018 | Content area: Investment Adviser
While the industry continues to digest the recent Supreme Court ruling that whistleblower anti-retaliation protections apply only when reporting to th...
3/20/2018 | Content area: Investment Adviser
The rollercoaster ride that has been the Labor Department’s fiduciary duty rule has taken another sharp turn. But hang on.   That split, 2-1 decision ...
3/15/2018 | Content area: Investment Adviser
The client agreement between Schwab and an investor no longer includes language giving the authority to make first-party money wire transfers. Count t...
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