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Home Investment Advisers February 6, 2023 RCW Weekly Briefing

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February 6, 2023 RCW Weekly Briefing

A new SEC proposal, lessons learned from a real-life cyber event, testimonial tips and much more

February 2 2023

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IAs LATEST NEWS

DOE’s FY ’25 exam priorities
RCW exclusive: New exam letters highlight top issues
BCP lessons: Adviser recounts Hurricane Helene’s devastation

LATEST TOOLBOX

FinCEN Beneficial Ownership FAQs
How to get a FinCEN Filer ID
SEC Exam Priorities FY 2025

UPCOMING EVENTS

Private Funds CFO Data and Technology Forum 2024

October 8-9, 2024
Marriott San Jose, CA

Private Fund Compliance Operations Forum 2024

November 19-20, 2024
Convene, 360 Madison Avenue, New York

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BROKER-DEALERS LATEST NEWS

Research: What makes people fall for frauds
Foreign associates’ supervision not ‘reasonably designed’
Reg BI charges stem from ‘multiple’ violations

PRIVATE FUNDS NEWS

McHenry wants FinCEN database audit
Peirce: Don’t make ‘monster’ of private credit
Complex products, increasing regs complicate outsourcing

CPOs/CTAs NEWS

Another CFTC action targets e-comm
A look at AI and financial services
CFTC reports enforcement results

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