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
7/05/2019 | Content area: Investment Adviser
Regulatory change was flagged as the perceived single biggest challenge facing compliance officers this year, according to Thomson Reuters Regulatory ...
7/05/2019 | Content area: Investment Adviser
In an April speech, OCIE Director Peter Driscoll detailed five of his division’s exam priorities and core risk areas (IA Watch, May 9, 2019). An SEC e...
7/04/2019 | Content area: Investment Adviser
Capterra helps firms make wise software purchases. The firm’s buying guide includes helpful tips, such as to define your needs first (see related stor...
7/03/2019 | Content area: Investment Adviser
Nary a compliance officer can be found today who doesn’t depend upon technology to do the job. A good decision results in saving you time and effort. ...
6/27/2019 | Content area: Investment Adviser
Summertime and the living is easy, but that’s not why this is an exciting time for the SEC’s Alicia Tate.   “It’s my favorite time of year,” says the ...
6/27/2019 | Content area: Investment Adviser
The SEC’s mum about its “upgrade” to how advisers can upload to OCIE materials requested by examiners.   The new system, called Kiteworks, was due to ...
6/27/2019 | Content area: Investment Adviser
A new “no-action” letter from the SEC’s Division of Investment Management gives an adviser relief from the Advisers Act’s prohibition on compensation ...
6/27/2019 | Content area: Investment Adviser
In the end the price tag for State Street in a new SEC enforcement case hit tens of millions of dollars even though the bank self-reported the violati...
6/27/2019 | Content area: Investment Adviser
Addressing concerns stemming from “opportunistic strategies” in the credit derivatives markets has been identified as a top priority of the chairmen o...
6/20/2019 | Content area: Investment Adviser
Now that the SEC has completed its ground-breaking fiduciary duty rulemaking, the Commission can now turn its sights on other rulemaking initiatives c...
6/20/2019 | Content area: Investment Adviser
With exempt offerings accounting for a significantly larger amount of new capital compared to registered offerings, the SEC is reaching out for feedba...
6/19/2019 | Content area: Investment Adviser
A long-confirmed best practice has advisers showing OCIE examiners a “day one” PowerPoint presentation to introduce their visitors to their firm.   Be...
6/13/2019 | Content area: Investment Adviser
Commissioner approval of rules and interpretations tied to fiduciary duty represented a “culmination of decades of work,” noted Barbara Gunn, assistan...
6/13/2019 | Content area: Investment Adviser
While advisers must demonstrate a duty of care and loyalty and seek best execution on behalf of their clients, RIAs can carve their fiduciary duty obl...
6/13/2019 | Content area: Investment Adviser
The good news is that the recently adopted Form CRS has been further condensed to a maximum two-page disclosure document for investment advisers and b...
6/13/2019 | Content area: Investment Adviser
Let’s face it—the two-page allotment for your Form CRS disclosures is not a lot of space any way you look at it. Being clear, along with being concise...
6/13/2019 | Content area: Investment Adviser
For the lone dissenter at last week’s SEC open meeting considering the fiduciary duty proposals the issue was simple—in his mind the rules didn’t requ...
6/13/2019 | Content area: Investment Adviser
They are well-known names now in the financial services industry—Kokesh, Lucia, Robare, and Lorenzo. For the SEC, they represent significant recent co...
6/07/2019 | Content area: Investment Adviser
The latest episode in the seven-year battle between a former San Diego investment adviser and the SEC over allegedly misleading marketing – a case tha...
6/07/2019 | Content area: Investment Adviser
Two years after a noteworthy international hack of the SEC’s EDGAR system, the agency’s Office of Inspector General will be scrutinizing whether the C...
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