Sign in or Register
- Sign In / Register

Quick Search
Investment Advisers
Private Funds
- News
- Latest Regulatory Actions
Broker-Dealers
- News
- Latest Regulatory Actions
CPO/CTAs
- News
- Latest Regulatory Actions
Books
- See all books
Events
- Global events calendar

Contact us
Sign-in FAQ
About us
Suggest a story
Subscribe

Sign in

Welcome!Log into your account

your username

your password

Forgot your password?

Password recovery

Recover your password

your email

Search

Contact us
Sign-in FAQ
About us
Suggest a story
Subscribe

Sign in or Register
- Email
  
  Need help signing in?
  
  Issues with signing in? Click here
  
  Don't have an account? Register now

Regulatory Compliance Watch

Quick Search
Investment Advisers
Private Funds
- News
- Latest Regulatory Actions
Broker-Dealers
- News
- Latest Regulatory Actions
CPO/CTAs
- News
- Latest Regulatory Actions
Books
- See all books
Events
- Global events calendar

Home Investment Advisers January 13, 2020 RCW Weekly Briefing

Return to search

Investment Advisers

January 13, 2020 RCW Weekly Briefing

OCIE's 2020 exam priorities, reports from actual exams, IA vows to fight on, and much more

January 9 2020

Create an account to continue reading

Gain instant access to our expert editorial analysis and in-depth insight.

Register for free

Already have an account? Sign in

TAGS
Newsletter

Share this

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

Agri Investor
Buyouts
Infrastructure Investor
New Private Markets
PE Hub
PEI
PERE
Private Debt Investor
Private Funds CFO
REC Europe
PERE Credit
Responsible Investor
Secondaries Investor
VCJ

Home
About Us
Contact Us
Sign In FAQ
Privacy Notice
Cookie Notice
Terms & Conditions

© PEI Group

Register now

Get limited access to our industry news, analysis and data, plus regular email updates

To register, please review and accept our terms and conditions and privacy notice.

I accept:

Already registered? Click here to login

Sign in to your account

Get limited access to our industry news, analysis and data, plus regular email updates

Don't have an account? Click here to register

Sign in to your account

Email address

Email address not recognised.

Don't have an account? Click here to register

Nearly there!

A verification email is on its way to you. Please check your spam or junk folder just in case.

If you do not receive this within five minutes, please try to sign in again. If the problem persists, please email: subscriptions@pei.group.

Copyright PEI Media

Not for publication, email or dissemination

Share with other subscribers

Only logged in subscribers of this site will be able to access the shared article.