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Regulatory Compliance Watch, including IA Watch

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Regulatory Compliance Watch, including IA Watch

Regulatory Compliance Watch helps compliance officers at financial services firms comply with security and commodity regulations. so you're not surprised.
4.

Our analysis, best practices and tools-you-can-use help subscribers master their enormous responsibilities. 10 reasons why RegComplianceWatch.com is the right choice to help keep you compliant:

10. Gain compliance tools-you-will use in our Compliance Toolbox.
9. Quickly pinpoint pertinent articles by topic, with access to our extensive archive across multiple regulatory channels.
8. Keep abrea

st of SEC, CFTC and FINRA enforcement trends and priorities by tracking the latest regulatory actions.
7. Receive immediate access to the regulations that affect you.
6. Join our listserve community to communicate with your compliance peers.
5. Know what's coming out of Washington, D.C. Download real-life SEC exam document request letters.
3. Find topics you're interested in quickly with our View-All-Content-On feature.
2. Use compliance checklists shared by your peers and save time.
1. Turn to our newly enhanced search engine to find what you're looking for across our entire website.

09/21/2023

Your new Sept. 25th RCW includes a look at the SEC's latest rule targeting advisers. Plus, follow rising concerns about the Commission's safeguarding proposal, track compliance lessons from a massive fraud and much more. All now live on our website.

Revised rule 35d-1 would mandate a fund have a P&P mandating it invest at least 80% of its assets in accordance with its name, plus other provisions

09/07/2023

Your new Sept. 11th RCW looks at the SEC's latest risk alert. Plus get success tips for succession planning, lessons from custody enforcements and much more. Now live.

“The Division is providing this information so that advisers may prepare themselves for an examination,” reads DOE’s 7th risk alert of 2023

08/24/2023

RCW's new Aug. 28th issue is now live, with an exclusive on a new SEC enforcement sweep, plus coverage of the many new rules the Commission approved yesterday, and much more.

RCW has obtained evidence of the division’s latest sweep and it targets advisers that engage in hypothetical performance marketing

08/17/2023

Your Aug. 21 RCW is now live, with a look at what's hot on SEC exams, tips and suggestions to avoid short sale violations, a call for more time to comment on the SEC's AI proposal and much more.

Our periodic recounting of what examiners in the SEC’s Division of Examinations are pursuing in adviser exams samples several new exam request letters obtained by RCW

08/10/2023

Your August 14th RCW is now live, with an exclusive look at what's being described as the SEC's long-awaited sweep exam tied to the IA ad rule. Plus much more.

Multiple sources have told RCW that the SEC has launched its long-anticipated Division of Examinations sweep tied to the IA advertising rule, and we’ve gotten a copy of what’s described as the sweep exam letter

08/03/2023

Your new August 7th RCW kicks off with a detailed look inside the SEC's new AI proposal for advisers and B-Ds, plus much more.

Firms could 'neutralize' a tool’s bias in favor of the adviser by 'rendering the consideration of the firm-favorable information subordinate to investors’ interests, and thus making the conflict harmless'

07/27/2023

Your final RCW for July is now live, including a look at the SEC's latest proposed rule targeting most advisers:

The Commission’s action would create two new rules—one for B-Ds and a second for advisers—plus revise each regime’s respective books and records rules to mandate that firms maintain documents proving compliance with the new rules

07/20/2023

Your July 24th RCW is now live and includes a story about how you may want to approach AI at your firm, along with the breaking news that the SEC has announced a public meeting for next week when it's scheduled to take up two new rule proposals directed at advisers, including one on AI.

The adviser has established a committee to survey how AI may be being used throughout the organization and to potentially develop guidelines. 'We’re working across departments to ask, ‘what’s a reasonable use of this?’

07/13/2023

Your new July 17 RCW reports on the new SEC final rule affecting MMF and liquidity fund advisers, provides tips to deal with staff using off-channel communications, shows that CCOs are doing more with less and much more.

Gensler: 'I’m voting for fewer federal bailouts...'

07/06/2023

Your new July 10th RCW is now live, with advice as to why you should pursue cyber resilience, a look at the pitfalls and promises of AI, lessons learned from a CCO and much more.

With Regulatory Compliance Watch, access up-to-the-minute news, analysis, best practices, tools and unparalleled peer networking opportunities.

06/29/2023

Your July 3 RCW, which is now live, includes a look at the current state of the IA union.

The number of SEC-registered investment advisers climbed to an all-time record high in 2022--a 2.1% increase over the prior year

06/15/2023

Your last RCW for spring is now live. It includes more guidance related to the IA ad rule, including a new SEC exam letter:

Some see a fine-line that could distinguish an educational piece from an advertisement

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Tuesday	9am - 5pm
Wednesday	9am - 5pm
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Friday	9am - 5pm

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