Mai 30, 2019
At FINRA’s recent annual conference in Washington D.C., President and CEO Robert W. Cook and Executive Vice President of Member…
CSS Videos
Coffee & Regs TV - What's Next for Compliance in 2022
Coffee & Regs TV - Investment Monitoring Rewind & 2022 Preview
PRIIPs Predictions in 2022
Coffee & Regs TV - What's Next for Cybersecurity in 2022
Coffee and Regs TV - Shareholding Disclosure Rules for Managed Holdings
Coffee & Regs TV - The Latest on the PRIIPs Delay
Coffee & Regs TV - Insights into SEC Examinations
Coffee & Regs TV - Digital Assets_ Trading & Compliance for Cryptocurrency
SEC Insights on ESG
Coffee & Regs TV – What's Next for the EU SFDR Level 2
Coffee & Regs TV - The PRIIPs RTS
Coffee & Regs TV - ESG FAQs Part 2
Coffee & Regs TV - ESG FAQs Part 1
ESG
Zulassungsvorlagen
Regulatory Book of Record (RBOR)
Meldewesen
Document Production & Distribution
Coffee & Regs TV - USA Position Limits - Too Many Options
Coffee & Regs TV - Coal, Steel, ESMA and You - An EU Law Primer
Coffee & Regs TV - The Future of Data Privacy Regulations
Coffee & Regs TV - The Mood of Compliance
Coffee & Regs TV - What's Next for Cybersecurity in 2022
Abonnieren
Subscribe today and receive our latest industry updates and articles.
You may unsubscribe at anytime with our simple “unsubscribe” link at the bottom of each communication. Please see our privacy notices below for further information, including a list of affiliates covered by this consent.
Mai 24, 2019
A sweep of investment advisers is underway by the U.S. Securities and Exchange Commission, which has sent out many letters…
Mai 24, 2019
Even your client relationship management (CRM) software may not be safe from hackers. That’s the lesson some advisers are learning…
Mai 10, 2019
Maintaining tailored policies and procedures is a critical component of an adviser’s internal controls. Time and time again, we’ve heard…
Mai 9, 2019
Engaging third-party service providers to perform key functions can offer an investment adviser access to state-of-the-art technology and solutions necessary…
Mai 8, 2019
On April 16, 2019, the SEC released a Risk Alert providing a list of compliance issues related to Regulation S-P,…
Mai 7, 2019
Rule 206(4)-7 requires each registered adviser to review its policies and procedures no less frequently than annually, to determine their…
Mai 2, 2019
On the heels of several European events focused on shareholder and position limit monitoring, we shifted to Miami, Florida and the Ascendant Compliance Solutions Strategies 2019 Spring Conference for another engaging session on the subject.
Mai 1, 2019
We’re still digesting all the great takeaways from the recent AIMA Global Policy & Regulatory Forum 2019. The theme was…
April 30, 2019
Being a Compliance Officer is no easy task. Administering a compliance program, implementing controls to help protect clients and the…
April 29, 2019
One of the biggest risks affecting investment advisers is the potential that material non-public information (“MNPI”) may be misused, leading…
April 25, 2019
Compliance as a profession continues to evolve. With Enron, Bernie Madoff and numerous other failures paving the way for rulemaking…