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Home Investment Advisers December 2, 2019 RCW Weekly Briefing

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Investment Advisers

December 2, 2019 RCW Weekly Briefing

SEC proposes derivatives rule, disclosure failures, CFTC aims for harmony

November 27 2019

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IAs LATEST NEWS

The Annual Review: Guidance for a fundamental compliance duty
Rush to ESG costs adviser $17M
Tell clients: No cashier’s checks

LATEST TOOLBOX

Registered Investment Companies: Review of Certain Core Focus Areas and Associated Documents Requested
Example of FinCEN ID Form
Sample FinCEN Beneficial Ownership Report

UPCOMING EVENTS

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October 8-9, 2024
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