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


 
REGULATORY RELEASES - IM GUIDANCE
Title Date
Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers 08/21/2019
Website updates to Forms N-1A, N-2, N-3, N-4, N-5, N-6, N-8B-2, N-14, AND N-CSR 02/04/2019
Statement regarding staff proxy advisory letters 09/18/2018
Updates to Custody Rule FAQs 06/11/2018
Information Update for Advisers Filing Certain Form ADV Amendments 08/14/2017
Holding Companies and the Application of Rule 3a-2 under the Investment Company Act 03/16/2017
Robo-Advisers 02/23/2017
Inadvertent Custody: Advisory contract versus custodial contract authority 02/22/2017
Mutual Fund Fee Structures 01/03/2017
Staff Guidance Concerning Investment Adviser Reliance on Predecessor Registrations 11/21/2016
Business Continuity Planning for Registered Investment Companies 06/28/2016
Fast Act Changes Affecting Investment Advisers to Small Business Investment Companies 03/21/2016
Fund Disclosure Reflecting Risks Related to Current Market Conditions 03/09/2016
Mutual Fund Distribution and Sub-Accounting Fees 01/06/2016
Employees’ Securities Companies and Escheatment 10/01/2015
The personal trading exception within the code of ethics 06/26/2015
Cybersecurity Guidance from the SEC IM Division 2015 04/28/2015
Acceptance of Gifts or Entertainment by Fund Advisory Personnel 02/24/2015
Guidance Regarding Key Employee Trusts Under the Family Office Rule 12/22/2014
Guidance Regarding Business Development Companies-Transactions with Certain Second-Tier Affiliates 12/01/2014
Guidance Regarding Investment Company Consolidation 10/31/2014
Mixed and Shared Funding Orders 10/24/2014
Business Development Companies with Wholly-Owned SBIC Subsidiaries-Asset Coverage Requirements 06/01/2014
Guidance Regarding Mutual Fund Enhanced Disclosure 06/01/2014
Private Funds and the Application of the Custody Rule to Special Purpose Vehicles and Escrows 06/01/2014
Series Investment Companies: Affiliated Transactions 06/01/2014
Multi-manager funds – aggregate advisory fee rate 04/04/2014
Guidance on the testimonial rule and social media 04/02/2014
Deregistration of Investment Companies: Applications On Form N-8F 04/01/2014
Unbundling of Proxy Proposals-Investment Company Charter Amendments 02/01/2014
Risk management in changing fixed income market conditions 01/15/2014
Investment Funds Maintained by Charitable Organizations 12/24/2013
Guidance on the Exemption for Advisers to Venture Capital Funds 12/02/2013
Shareholder Notices of the Sources of Fund Distributions - Electronic Delivery 11/26/2013
Fund Names Suggesting Protection From Loss 11/26/2013
Status of Certain Private Fund Investors as Qualified Clients 11/06/2013
Form 13F confidential treatment requests based on a claim of ongoing acquisition/disposition program 10/28/2013
Fund Advisers Serving “At Cost” or For No Compensation 10/10/2013
Business Development Companies—Separate Financial Statements or Summarized Financial Information of Certain Subsidiaries 09/27/2013
Merger of Two Exchange-Traded Funds 09/24/2013
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