Conquering Current Compliance Challenges
July 10, 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 LettersThe SEC Examinations Priorities Handbook (2019 Edition)
Includes: Best Practices, Document Request Letters and OCIE Risk Alerts
The Adviser's Guide to SEC Advertising and Marketing Rules
Includes: Best Practices, Document Request Letters and OCIE Risk Alerts
The Adviser's Guide to SEC Advertising and Marketing Rules
Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance
Alexander Burns: SEC Obtains Fraud Judgment Against Co-Owner of Defunct PE Fund Adviser
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Here's what your peers in the industry say about Reg Compliance Watch:
“I use IA Watch [a service of Reg Compliance Watch] all the time. IA Watch keeps me up-to-date with all of the regulatory changes and offers best practices and guidance to help with keeping my firm in compliance with any new or changing rule – all in one resource. For me, it is money well spent. The companion IA Watch Weekly Briefing newsletter is worth the cost alone and its news and guidance are very timely.”
- Cathy Simmons, CFP®, IACCP®, Chief Compliance Officer, Legacy Wealth Management
“IA Watch [a service of Reg Compliance Watch] is a great resource that provides in-depth and up-to date guidance on topics of concern for compliance professionals. The very organized sections make it easy to find the information I need. Plus, the easy to view IA Watch Weekly Briefing newsletter is an excellent time saving tool to stay current in the compliance world.”
- Bob Pennington, President/ CCO, Buckhead Investment Partners
“IA Watch [a service of Reg Compliance Watch] provides timely information about different news and trends, new regulations and proposed regulations, and also gives me the ability to see what other CCOs are thinking. I think it is a terrific product.”
- Joseph McGill, CCO, Lord Abbett
02/01/2019
The complaint alleges that Scherr knew or should have known that Burns intended to and did sell the overvalued assets to the clients of his affiliated...
To view this information, access to the Private Fund Watch service is required.
Interested in subscribing to any combination of IA Watch, BD Watch, CPO/CTA Watch or PF Watch or have a question about the service? Call 1-800-455-5844, option 2, prompt 1.
Here's what your peers in the industry say about Reg Compliance Watch:
“I use IA Watch [a service of Reg Compliance Watch] all the time. IA Watch keeps me up-to-date with all of the regulatory changes and offers best practices and guidance to help with keeping my firm in compliance with any new or changing rule – all in one resource. For me, it is money well spent. The companion IA Watch Weekly Briefing newsletter is worth the cost alone and its news and guidance are very timely.”
- Cathy Simmons, CFP®, IACCP®, Chief Compliance Officer, Legacy Wealth Management
“IA Watch [a service of Reg Compliance Watch] is a great resource that provides in-depth and up-to date guidance on topics of concern for compliance professionals. The very organized sections make it easy to find the information I need. Plus, the easy to view IA Watch Weekly Briefing newsletter is an excellent time saving tool to stay current in the compliance world.”
- Bob Pennington, President/ CCO, Buckhead Investment Partners
“IA Watch [a service of Reg Compliance Watch] provides timely information about different news and trends, new regulations and proposed regulations, and also gives me the ability to see what other CCOs are thinking. I think it is a terrific product.”
- Joseph McGill, CCO, Lord Abbett
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