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Home Investment Advisers May 16, 2022 RCW Weekly Briefing

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Investment Advisers

May 16, 2022 RCW Weekly Briefing

An exclusive analysis of new Form ADV data, ideas to save money on cybersecurity insurance, best interest and annuities, and much more

May 12 2022

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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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