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Home Investment Advisers February 13, 2023 RCW Weekly Briefing

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Newsletter

February 13, 2023 RCW Weekly Briefing

DOE announces its 2023 exam priorities, an RCW exclusive on an enforcement sweep, new no-action guidance and much more

February 9 2023

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IAs LATEST NEWS

International reg battle heats up
Heed the coming pension changes
New 990: A mixed year for the IAA

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

Influencers’ claims were ‘promissory or misleading’
Guidance on third parties’ social media posts
Deficient SARs filings trip up three B-Ds

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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