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Home Investment Advisers December 23, 2024 RCW Weekly Briefing

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December 23, 2024 RCW Weekly Briefing

Compliance scorched over trading case, firms pay for neglecting Form PF, perhaps the final DOE risk alert of the year and much more

December 19 2024

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IAs LATEST NEWS

Fines fall upon firms over Form PF
Compliance receives heat in cherry-picking case
SEC alert provides a glimpse of MA exams

LATEST TOOLBOX

Common Cybersecurity Terminology
Example of a P&P governing political contributions
Registered Investment Companies: Review of Certain Core Focus Areas and Associated Documents Requested

UPCOMING EVENTS

Private Funds CFO New York Forum 2025

February 4-5, 2025
Hilton Midtown, New York

Private Fund Compliance Regulatory Forum 2025

May 21-22, 2025
JW Marriott, 1331 Pennsylvania Avenue NW, Washington, DC

View all events >

BROKER-DEALERS LATEST NEWS

Underwriting comp for SPAC deemed ‘unreasonable’
Rollover records mistakenly deleted
SEC modernizes Exchange Act filings, forms

PRIVATE FUNDS NEWS

SEC committee talks retail investors in PFs
Regulators should ‘update’ perception of PF risk
Atkins’ nomination hints at markets democratization

CPOs/CTAs NEWS

CFTC issues AI guidance
Another CFTC action targets e-comm
A look at AI and financial services

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