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
3/15/2018 | Content area: Investment Adviser
An SEC enforcement initiative aimed at combatting “cherry-picking” continues to bear fruit. The initiative—led by the Commission’s Los Angeles Regiona...
3/15/2018 | Content area: Investment Adviser
Undisclosed conflicts of interest and materially misleading disclosures in connection with the securities lending practices of two investment adviser ...
3/14/2018 | Content area: Investment Adviser
A reflection of how Washington works these days can be seen in the SEC Commission meeting March 14. It marked the first time a full five-member Commis...
3/08/2018 | Content area: Investment Adviser
An appeals court has followed the instruction of the U.S. Supreme Court and severely reduced an adviser’s fine for ripping off clients so as to fit wi...
3/08/2018 | Content area: Investment Adviser
When the SEC changed the face of its custody rule last year, advisers and custodians were forced to act. Among the revisions made by Pershing Adviser ...
3/08/2018 | Content area: Investment Adviser
The confusing custody rule may seem even more opaque after hearing about the $60,000 fine assessed against Financial Fiduciaries ($141M in AUM) in Wau...
3/08/2018 | Content area: Investment Adviser
You may ask what a non-profit group that works to ensure Tennessee walking horses aren’t harmed has to with an investment adviser barred by an SEC ALJ...
3/08/2018 | Content area: Investment Adviser
Regulation SCI first became effective back in November 2015. The SEC has now brought its first-ever charged violation of Reg SCI. On March 6, the Comm...
3/01/2018 | Content area: Investment Adviser
Although the SEC’s proposed target date fund rule never became final, the lack of regulation hasn’t deterred OCIE. IA Watch has obtained a document re...
3/01/2018 | Content area: Investment Adviser
While OCIE has had its ReTIRE initiative in place for three years, a new document request letter reveals a twist (IA Watch, June 25, 2015) (see relate...
3/01/2018 | Content area: Investment Adviser
All the fuss over the Labor Department’s fiduciary duty rule (before it fizzled) left many firms pursuing the best practice of comparing a client’s ex...
3/01/2018 | Content area: Investment Adviser
It’s been one year since the SEC issued its long-awaited guidance concerning custody (IA Watch, Feb. 23, 2017), yet confusion continues to reign. This...
3/01/2018 | Content area: Investment Adviser
The six-month delay affecting parts of the SEC’s liquidity risk management program may not be enough (IA Watch, Feb. 22, 2018).   “The reprieve is cer...
2/22/2018 | Content area: Investment Adviser
Everybody seems to be talking about cryptocurrencies. It’s one reason OCIE has made it a new item on its 2018 exam priorities’ list (IA Watch, Feb. 7,...
2/22/2018 | Content area: Investment Adviser
SEC commissioners acted Feb. 21 to push back the start of its liquidity risk management rule from this December to June 2019. The motive was to give f...
2/22/2018 | Content area: Investment Adviser
Now that you have four months to decide whether to take advantage of the SEC’s offer to self-report share class violations, don’t dally (IA Watch, Feb...
2/22/2018 | Content area: Investment Adviser
The upshot of a unanimous Supreme Court decision Feb. 21 is that whistleblowers will now more likely take their concerns to the SEC, perhaps circumven...
2/22/2018 | Content area: Investment Adviser
You’re only two months away from the effective date of a new EU rule that carries potentially hugely expensive penalties for violations.   Perhaps you...
2/22/2018 | Content area: Investment Adviser
A recent SEC enforcement action against a former bitcoin-denominated platform and its operator hits squarely on two of the Commission’s hot focus area...
2/15/2018 | Content area: Investment Adviser
The SEC’s FY 2019 budget request tackles a three years running flat budget and two-year hiring freeze in a bid to stay on top of the growing and ever-...
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