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Regulatory Compliance Watch

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Home Investment Advisers November 15, 2021 RCW Weekly Briefing

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Investment Advisers

November 15, 2021 RCW Weekly Briefing

A look at two new DOE risk alerts, tips to monitoring your vendors, top 10 exam areas and much more

November 11 2021

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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

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A look at AI and financial services
CFTC reports enforcement results

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