Conquering Current Compliance Challenges
Aug. 14, 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


 
INVESTMENT ADVISER NEWS & GUIDANCE
6/04/2019 | Content area: Investment Adviser
Your local coffee shop may produce a quality cup of joe and offer you free Wi-Fi but be cautious that the service doesn’t come with a malicious slice ...
5/30/2019 | Content area: Investment Adviser | Broker-Dealer
It may have surprised you to see that SEC commissioners added a 4th element to their scheduled June 5 meeting when they’ll take up their fiduciary dut...
5/30/2019 | Content area: Investment Adviser
Federal agencies have released their latest regulatory agendas and it appears the Department of Labor intends to revisit its ill-fated fiduciary duty ...
5/30/2019 | Content area: Investment Adviser
After the FBI busted Kevin Merrill and his Ponzi scheme last September, the Maryland man used handwritten notes flashed to his wife on the other side ...
5/30/2019 | Content area: Investment Adviser
Stephen Brandon Anderson obviously didn’t display a flair for the chief compliance officer role. That’s why a new settlement in an SEC enforcement act...
5/30/2019 | Content area: Investment Adviser
Surprises are certainly the enemy of compliance. Given that staff interviews are a growing staple of most SEC exams, conducting mock interviews with k...
5/24/2019 | Content area: Investment Adviser
Wednesday, June 5 is the date the SEC has set for the Commission to take up its proposed Reg BI, Form CRS, an IA “standard of conduct” and a new item ...
5/23/2019 | Content area: Investment Adviser
The bell for round 2 of the SEC’s liquidity risk management rule rings June 1 for mutual funds with more than $1 billion in assets. The first round en...
5/23/2019 | Content area: Investment Adviser
Come July, Richard Cody will report to federal prison to begin serving a two-year sentence for investment adviser fraud. But his elderly victims will ...
5/23/2019 | Content area: Investment Adviser
Cybersecurity concerns have driven OCIE May 23 to release a new risk alert urging investment advisers and broker-dealers to “actively oversee any vend...
5/23/2019 | Content area: Investment Adviser
Cybersecurity-related deficiencies are “a top concern” of securities examiners across the North American Securities Administrators Association’s juris...
5/23/2019 | Content area: Investment Adviser
It was last year at this time that the North American Securities Administrators Association released its first-ever snapshot of the state-registered I...
5/16/2019 | Content area: Investment Adviser
Similar to about 40% of advisers, the firm indicated on its Form ADV, Part 1 that it has custody. But when OCIE examiners showed up for the first time...
5/16/2019 | Content area: Investment Adviser
Retail investors likely would never think to ask to read an adviser’s deficiency letter from the firm’s most recent OCIE exam. But institutional inves...
5/16/2019 | Content area: Investment Adviser
A federal appeals court May 13 dismissed an appeal by adviser Louis Navellier in an attempt to have his compliance consultant’s records deemed to be p...
5/16/2019 | Content area: Investment Adviser
When a client asked Michael Giokas if he could record their phone conversation, the owner/CCO of Giokas Wealth Advisors in Clarence, N.Y., had no idea...
5/16/2019 | Content area: Investment Adviser
Wade through an academic’s mumbo jumbo and new research leans toward saying investors sold annuities benefited when broker-dealers faced a fiduciary d...
5/15/2019 | Content area: Investment Adviser
Even though SEC Commissioner Hester Peirce supported “many” of the share class allocation settlements announced by the Commission’s Enforcement Divisi...
5/09/2019 | Content area: Investment Adviser
If you’re having difficulty making the case for sufficient resources for your firm’s compliance program, you may want to consider laying the latest sp...
5/09/2019 | Content area: Investment Adviser
When you and your staff calm down after an event that triggered the launching of your business continuity plan, know that the cyber bad guys could be ...
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