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Home Investment Advisers October 14, 2024 RCW Weekly Briefing

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October 14, 2024 RCW Weekly Briefing

Real-life survival stories from Hurricane Helene, plus BCP tips, new PF FAQs and much more

October 10 2024

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IAs LATEST NEWS

BCP lessons: Adviser recounts Hurricane Helene’s devastation
More business continuity planning lessons learned
How you can help Helene victims

LATEST TOOLBOX

SEC exam letter sent to adviser
DOE exam letter
T+1 P&P

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

Broker rankings, net capital compliance are focus areas
Firm charged in Treasuries spoofing scheme
Move to T+1 deemed ‘successful’ in new report

PRIVATE FUNDS NEWS

Private fund advocates relieved after Cali veto
Private debt fund settles MNPI case
Firm dinged for registration failures after ‘operational overlap’

CPOs/CTAs NEWS

Another CFTC action targets e-comm
A look at AI and financial services
CFTC reports enforcement results

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