Home Newsletters


Brexit's for real now, update on Reg BI lawsuits, tips for confirming qualified clients, and more
Reg BI answers, case raises reporting questions, more share class enforcement and much more
OCIE's 2020 exam priorities, reports from actual exams, IA vows to fight on, and much more
Predictions for 2020, your peers' compliance resolutions, new regulations coming this year
New SEC rules, cybersecurity tips, custody and more in our last issue of 2019
More guidance on the advertising proposal, an exclusive RCW investigation, cybersecurity tips and more
Only one Form CRS per firm, how to disclose rollovers, encryption best practices
SEC proposes derivatives rule, disclosure failures, CFTC aims for harmony
The SEC's rulemaking agenda, tips for complying with Reg BI/Form CRS, the 'Cannibal cop' & the CCO
Reaction to the SEC's advertising proposal, a CCO who faces prison, your peers and social media and much more
New proposed SEC rules on advertising, solicitation, books and records and more
Your Nov. 4, 2019 RCW Weekly Briefing
Your Weekly Briefing

Copyright PEI Media

Not for publication, email or dissemination