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
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...
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...
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