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There’s lots to do but she’ll get it done

The Annual Review: Guidance for a fundamental compliance duty

November 15 2024

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Rush to ESG costs adviser $17M

November 15 2024

Tell clients: No cashier’s checks

November 15 2024

FinCEN issues ‘deepfake’ risk alert

Anti-Money Laundering

Bill Myers -

November 18 2024

Books-and-records crackdown netted $600M

Enforcement

Bill Myers -

November 18 2024

The Annual Review: Guidance for a fundamental compliance duty

Annual Review

Carl Ayers -

November 15 2024

Rush to ESG costs adviser $17M

ESG

Carl Ayers -

November 15 2024

Tell clients: No cashier’s checks

Compliance Best Practices

Carl Ayers -

November 15 2024

Exams director promotes ‘culture of compliance’

Examinations: Best Practices

Hugh Kennedy -

November 14 2024

BEST PRACTICES SPOTLIGHT

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The top 10 RCW stories for October

Compliance Best Practices

Carl Ayers -

November 1 2024

Latest Regulatory Actions

RCW Staff -

November 15 2024

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PF Advisers: Documentation of Compliance Reviews

SEC: Rulemaking 1 day ago

Brazil Argentina and world flags is flying

Provisions Pertaining to U.S. Investments in Certain National Security Technologies and...

International November 15 2024

Wind turbines are alternative electricity sources, the concept of sustainable resources, People in the community with wind generators turbines, Renewable energy.

Stumbles around ESG cost adviser $17.5 million

SEC: Enforcement November 8 2024

WEBINARS

CLE Webinars

November 12- Meeting the Challenges of the Custody Rule

Barbara Jones -

November 12 2024

VIDEOS

Guidance for Advisers Dabbling Early on with AI

Carl Ayers -

September 5 2023

INVESTMENT ADVISERS ACT

Investment Advisers Act

RCW Staff -

June 12 2023

SPEECHES

SEC Acting Enforcement Director Wadhwa reflects on the division’s actions

SEC: Enforcement 8 hours ago

SEC Chairman Gensler looks back on his reign, talks rules of...

SEC Operations November 14 2024

Securities and Exchange Commission, SEC, Building in Washington DC. The SEC regulates stocks and bonds and related financial activities.

SEC Acting Enforcement Director Wadhwa talks OCCs

SEC: Enforcement November 7 2024

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RESOURCES

Click on RCW Hot Topic Links

RCW Staff -

November 1 2024

Quick Links to SEC Risk Alerts, Exam Priorities, Rules and More

RCW Staff -

November 5 2024

Shortcuts to the Hottest IA Topics

RCW Staff -

November 1 2024

COMPLIANCE TOOLBOX

Visit our compliance toolbox

RCW Staff -

November 5 2024

Save time and become more efficient by utilizing hundreds of compliance tools and templates in our Compliance Toolboxes. You’ll find: Best practices ranging from...

LATEST TOOLS

Registered Investment Companies: Review of Certain Core Focus Areas and Associated Documents Requested

DOE Risk Alerts

Carl Ayers -

November 5 2024

Example of FinCEN ID Form

Forms

Carl Ayers -

November 1 2024

WEEKLY BRIEFINGS

COMPLIANCE CALENDAR

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Compliance Calendar

Carl Ayers -

October 1 2024

Nearly there!

LATEST NEWS

FinCEN issues ‘deepfake’ risk alert

Books-and-records crackdown netted $600M

The Annual Review: Guidance for a fundamental compliance duty

Rush to ESG costs adviser $17M

Tell clients: No cashier’s checks

Exams director promotes ‘culture of compliance’

BEST PRACTICES SPOTLIGHT

The top 10 RCW stories for October

LATEST REGULATORY ACTIONS

Latest Regulatory Actions

PF Advisers: Documentation of Compliance Reviews

Provisions Pertaining to U.S. Investments in Certain National Security Technologies and...

Stumbles around ESG cost adviser $17.5 million

WEBINARS

November 12- Meeting the Challenges of the Custody Rule

VIDEOS

Guidance for Advisers Dabbling Early on with AI

INVESTMENT ADVISERS ACT

Investment Advisers Act

SPEECHES

SEC Acting Enforcement Director Wadhwa reflects on the division’s actions

SEC Chairman Gensler looks back on his reign, talks rules of...

SEC Acting Enforcement Director Wadhwa talks OCCs

DOWNLOAD LATEST WEEKLY BRIEFING

RESOURCES

Click on RCW Hot Topic Links

Quick Links to SEC Risk Alerts, Exam Priorities, Rules and More

Shortcuts to the Hottest IA Topics

COMPLIANCE TOOLBOX

Visit our compliance toolbox

LATEST TOOLS

Registered Investment Companies: Review of Certain Core Focus Areas and Associated Documents Requested

Example of FinCEN ID Form

WEEKLY BRIEFINGS

COMPLIANCE CALENDAR

Compliance Calendar

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Nearly there!

LATEST NEWS

BEST PRACTICES SPOTLIGHT

RESOURCES

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