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
7/25/2019 | Content area: Investment Adviser
The SEC just can’t escape legal challenges to its system of administrative law judges (IA Watch, July 18, 2019). While Ray Lucia’s case progresses, an...
7/25/2019 | Content area: Investment Adviser
A pair of Alaska investment adviser managing principals didn’t properly disclose payments their firm received from a private real estate fund that the...
7/25/2019 | Content area: Investment Adviser
Financial regulators should take “a holistic, financial sector-wide view” of cyber-security threats—which includes communicating better amongst the va...
7/23/2019 | Content area: Investment Adviser
Don’t just take the word of any applicant about the person’s disciplinary history. Investigate whether the person’s being honest about past troubles. ...
7/18/2019 | Content area: Investment Adviser
As fee structures grow more complicated, so must your oversight.   Controls at many firms “are not keeping up with the complexity of fees that are bei...
7/18/2019 | Content area: Investment Adviser
Having an entity test its ability to infiltrate your network stands as a confirmed cybersecurity best practice.   However, you may want to ask your ve...
7/18/2019 | Content area: Investment Adviser
Facebook entrepreneur Mark Zuckerberg wasn’t even in high school when the SEC issued its 1996 guidance on e-delivery. It’s encouraging that the Commis...
7/18/2019 | Content area: Investment Adviser
The latest bout between the SEC and Ray Lucia over claims the former adviser allegedly hyped the performance of his advisory firm plays out with the a...
7/18/2019 | Content area: Investment Adviser
And the beat goes on. For six years running, cybersecurity has remained the biggest compliance concern at SEC-registered investment adviser firms, acc...
7/18/2019 | Content area: Investment Adviser
Sometimes your compliance job involves entering territory that can seem far afield.   Take Resolution Stay, the rules directed at large banks and prom...
7/11/2019 | Content area: Investment Adviser
Form ADV. The pay-to-play rule. Money market rules. Risk management controls for broker-dealers.   These are among the eight rules the SEC will be rev...
7/11/2019 | Content area: Investment Adviser
With credit card issuers touting awards like airline miles, hotel stays, cash back and more for using their credit cards, it’s little wonder clients m...
7/11/2019 | Content area: Investment Adviser
Claiming your firm manages over $1 billion in assets to nearly 100 prospects when in reality the firm has “never managed any significant assets” spark...
7/11/2019 | Content area: Investment Adviser
You’ve seen it many times. Not long after the SEC releases an enforcement settlement against an adviser or another firm, the Commission than grants th...
7/11/2019 | Content area: Investment Adviser
An investment adviser received regulatory relief to rely upon existing exemptive guidance rather than having to ask the SEC’s Division of Investment M...
7/11/2019 | Content area: Investment Adviser
The SEC commission is back to full strength with the July 8 swearing in of Democrat Allison Lee.   Lee has worked at the SEC before. She served as cou...
7/09/2019 | Content area: Investment Adviser
Speaking before a group in Boston that included retail investors, SEC Chairman Jay Clayton July 8 vigorously defended the Commission’s actions in pass...
7/05/2019 | Content area: Investment Adviser
Early debates among Democratic Presidential candidates attest to the vigorous election season that awaits – a perfect time to ponder the reach of the ...
7/05/2019 | Content area: Investment Adviser
One year after the SEC’s Investor Advocate Rick Fleming stated in his annual report to Congress on his objectives that the Commission’s three fiduciar...
7/05/2019 | Content area: Investment Adviser
They’ve been years in the making and are a once-a-decade development (IA Watch, May 25, 2017). The CFA Institute June 30 released its Global Investmen...
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