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


 
REGULATORY RELEASES - OCIE RISK ALERTS
Title Date
Safeguarding Customer Records and Information in Network Storage -- Use of Third Party Security Features 05/23/2019
Investment Adviser and Broker-Dealer Compliance Issues Related to Regulation S-P – Privacy Notices and Safeguard Policies 04/16/2019
Observations from Investment Adviser Examinations Relating to Electronic Messaging 12/14/2018
Risk-Based Examination Initiatives Focused on Registered Investment Companies 11/08/2018
Investment Adviser Compliance Issues Related to the Cash Solicitation Rule 10/31/2018
Compliance Issues Related to Best Execution by Investment Advisers 07/11/2018
Overview of the Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers 04/12/2018
Observations from Municipal Advisor Exams 11/13/2017
The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers 09/15/2017
Observations From Cybersecurity Examinations 08/08/2017
Cybersecurity Ransomware Alert 05/17/2017
The Five Most Frequent Compliance Topics Identified in OCIE Examinations of Investment Advisers 02/07/2017
Multi-Branch Adviser Initiative 01/03/2017
Examining Whistleblower Rule Compliance 10/26/2016
Examinations of Supervision Practices At Registered Investment Advisers 09/19/2016
OCIE's 2016 Share Class initiative 07/13/2016
Examinations of Advisers and Funds that Outsource their Chief Compliance Officers 11/09/2015
OCIE’s 2015 Cybersecurity Examination Initiative 09/15/2015
Retirement-Targeted Industry Reviews and Examinations Initiative 06/22/2015
OCIE’s Never-Before-Examined Registered Investment Company Initiative 04/20/2015
Cybersecurity Examination Sweep Summary 02/03/2015
OCIE Cybersecurity Initiative 04/15/2014
Investment adviser due diligence processes for selecting alternative investments and their respective managers 01/29/2014
Rule 105 of Regulation M: Short Selling in Connection with a Public Offering 09/17/2013
SEC Examinations of Business Continuity Plans of Certain Advisers Following Operational Disruptions Caused by Weather-Related Events Last Year 08/27/2013
Strengthening Practices for Preventing and Detecting Illegal Options Trading Used to Reset Reg SHO Close-out Obligations 08/09/2013
Significant Deficiencies Involving Adviser Custody and Safety of Client Assets 03/04/2013
Strengthening practices for preventing and detecting unauthorized trading and similar activities 02/29/2012
Investment Adviser Use of Social Media 01/04/2012
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