Conquering Current Compliance Challenges
June 12, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: May 15, 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
11/15/2018 | Content area: Investment Adviser
Legal briefs have been filed with the U.S. Court of Appeals in Washington in The Robare Group v. SEC, the latest installment in a four-year legal batt...
11/15/2018 | Content area: Investment Adviser
Next month, larger mutual funds will begin filing liquidity data on SEC Form N-CEN. Ahead of that deadline, the SEC’s Division of Investment Managemen...
11/15/2018 | Content area: Investment Adviser
The SEC has upped its game with respect to investment adviser examinations given the ever-increasing number of registered IAs and one of its commissio...
11/15/2018 | Content area: Investment Adviser
The financial services industry has been clamoring for changes to the SEC’s proposed customer relationship summary form since it was proposed last Apr...
11/15/2018 | Content area: Investment Adviser
A day-long meeting Nov. 15 before SEC commissioners recounted a litany of problems around proxy voting and sprinkled potential solutions that may ulti...
11/13/2018 | Content area: Investment Adviser
As OCIE demonstrated recently with its cash-solicitation risk alert (IA Watch, Oct. 31, 2018), advisers often fail to show they’ve done due diligence ...
11/12/2018 | Content area: Investment Adviser
If you’re an adviser to a mutual fund, then OCIE’s 4th risk alert of 2018 is for you.   The four-page alert, released Nov. 8, lays out what topics exa...
11/09/2018 | Content area: Investment Adviser
When does a fiduciary become a fiduciary? That question is at the essence of a lawsuit in Kentucky that could be thrown out before it gets anywhere or...
11/09/2018 | Content area: Investment Adviser
If you’re an adviser to a mutual fund that wishes to begin using swing pricing when the SEC’s rules take effect Nov. 19, remember you must have releva...
11/09/2018 | Content area: Investment Adviser
How much would you pay to gain new clients? Some advisers are paying solicitors a handsome chunk of change.   “Solicitors will receive ongoing compens...
11/06/2018 | Content area: Investment Adviser
The number of enforcement actions against investment advisers and investment companies in FY 2018 jumped 32% – from 82 to 108, according to the SEC Di...
11/01/2018 | Content area: Investment Adviser | Private Fund
Within days of an SEC action against Yorkville Advisors in 2012, the defendants filed a furious response, calling the claim of fraud “baseless,” “an e...
11/01/2018 | Content area: Investment Adviser
Concerns about the current volume, format and content of variable contract disclosures have led the SEC to propose a new “layered” disclosure approach...
11/01/2018 | Content area: Investment Adviser
Anyone with internet access has gotten them – advertisements via e-mail.   Most modern business enterprises turn to e-mail to advertise, including adv...
11/01/2018 | Content area: Investment Adviser
Just as you can’t yell “fire” in a crowded, smoke-free theatre, you apparently can’t pester the SEC with your concerns about market oversight.   The N...
10/31/2018 | Content area: Investment Adviser
It’s difficult to confuse the plain dictates of the cash solicitation rule, Advisers Act rule 206(4)-3, yet it seems some advisers have done just that...
10/25/2018 | Content area: Investment Adviser
To preserve or to destroy. That is the question when it comes to adviser business records.   Of course, Advisers Act rule 204-2 (books and records) su...
10/25/2018 | Content area: Investment Adviser
Consider custody the gift that keeps on giving. The latest twist of the screw comes from Pennsylvania, where state securities officials last month rel...
10/18/2018 | Content area: Investment Adviser
Agreement over a uniform fiduciary duty standard is as rare as snow in October but one consensus seems to be that the industry has adopted new steps t...
10/18/2018 | Content area: Investment Adviser
Query Webster’s and you find a “fiduciary” defined as “one who acts ... in a fiduciary capacity.”   The adjective offers more help: “involving a confi...
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