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Regulatory Compliance Watch

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Home Broker-Dealers BD Latest News House budget frees Reg BI

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IA Latest News

House budget frees Reg BI

December 19 2019

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TAGS
SEC: Regulators
Regulation Best Interest
Congressional Activity

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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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