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Home Investment Advisers February 7, 2022 RCW Weekly Briefing

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Investment Advisers

February 7, 2022 RCW Weekly Briefing

New SEC exam sweep, DOE gets graded itself, former rep faces prison and much more

February 3 2022

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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

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PRIVATE FUNDS NEWS

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Little bark, lots of bite in SEC’s priorities

CPOs/CTAs NEWS

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