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
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...
6/08/2018 | Content area: Investment Adviser
There’s no mistaking that failures to disclose conflicts of interest tied to compensation are a focus of both SEC examiners and Enforcement. New York-...
6/08/2018 | Content area: Investment Adviser
One view holds that the complex and costly Volcker rule must be changed to more easily permit hedging and market making. The second view fears looseni...
5/31/2018 | Content area: Investment Adviser
Bluestone Capital Management ($3.1B in AUM) in Wayne, Pa., reported in its latest Form ADV filing that its CCO gets paid by other sources. A closer lo...
5/31/2018 | Content area: Investment Adviser
Now that the Federal Reserve has approved a 373-page proposal to revise the Volcker rule, fellow regulators – including the SEC and the CFTC – are due...
5/31/2018 | Content area: Investment Adviser
With clear signs that the SEC will reverse itself on its mutual fund liquidity disclosure rule (IA Watch, May 24, 2018), predictions are also being ma...
5/31/2018 | Content area: Investment Adviser
What punishment would you mete out to staff who ignored your firm’s trading policies? A new SEC OIG report to Congress shows the Commission suspended...
5/31/2018 | Content area: Investment Adviser
You no doubt have been getting multiple e-mails from various parties touting their new privacy policies, detailing opt-in notices and calling out that...
5/31/2018 | Content area: Investment Adviser
Chief compliance officers can take heart in the recent words of new SEC Commissioner Hester Peirce. In remarks at the 50th annual Rocky Mountain Secur...
5/24/2018 | Content area: Investment Adviser
President Trump has sign S. 2155 into law. The bi-partisan financial reform legislation cleared Congress this week. It allows hedge and private equity...
5/24/2018 | Content area: Investment Adviser
A new study finds only 17% of respondents expressed that they were very satisfied “with the effectiveness of their compliance program.” Nearly half (4...
5/24/2018 | Content area: Investment Adviser
The SEC must have gotten something right with its three fiduciary duty proposals if it could both upset and please those who wish for a tougher best i...
© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US