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Regulatory Compliance Watch

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Home Investment Advisers February 18, 2019 IA Watch Weekly Briefing

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Investment Advisers

February 18, 2019 IA Watch Weekly Briefing

More tips to serve aging clients as OCIE continues to pursue this hot exam topic

February 18 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

Private Funds CFO Data and Technology Forum 2024

October 8-9, 2024
Marriott San Jose, CA

Private Fund Compliance Operations Forum 2024

November 19-20, 2024
Convene, 360 Madison Avenue, New York

View all events >

BROKER-DEALERS LATEST NEWS

Get fortified against cyber risks
Compliance department deemed understaffed
Supervision of reps outside accounts found deficient

PRIVATE FUNDS NEWS

JPMorgan affiliates settle five cases
Private credit’s MNPI worries
Little bark, lots of bite in SEC’s priorities

CPOs/CTAs NEWS

Another CFTC action targets e-comm
A look at AI and financial services
CFTC reports enforcement results

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