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Home Investment Advisers November 11, 2019 RCW Weekly Briefing

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Investment Advisers

November 11, 2019 RCW Weekly Briefing

New proposed SEC rules on advertising, solicitation, books and records and more

November 7 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

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PRIVATE FUNDS NEWS

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CPOs/CTAs NEWS

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