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Home Investment Advisers December 7, 2020 RCW Weekly Briefing

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Investment Advisers

December 7, 2020 RCW Weekly Briefing

Best practices to ace your next OCIE exam, hot exam topics, continuing ed for IA reps, and much more

December 3 2020

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IAs LATEST NEWS

A year of change buds for financial services
The top 10 RCW stories for December
Another stay issued in FinCEN CTA reporting obligation: No need to report now

LATEST TOOLBOX

Whistleblower P&P
Gifts and Entertainment P&P
Common Cybersecurity Terminology

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

Private funds realize historic year
American LPs look abroad for ESG
Fees and expenses, valuations an SEC focus

CPOs/CTAs NEWS

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

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