BROWSE BY TOPIC
- Bad Brokers
- Compliance Concepts
- Investor Protection
- Investments - Unsuitable
- Investments - Strategies
- Investments - Private
- Features/Scandals
- Companies
- Technology/Internet
- Rules & Regulations
- Crimes
- Investments
- Bad Advisors
- Boiler Rooms
- Hirings/Transitions
- Terminations/Cost Cutting
- Regulators
- Wall Street News
- General News
- Donald Trump & Co.
- Lawsuits/Arbitrations
- Regulatory Sanctions
- Big Banks
- People
TRENDING TAGS
Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
ABOUT FINANCIALISH
We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.
Stay Informed with the latest fanancialish news.
SUBSCRIBE FOR
NEWSLETTERS & ALERTS
FOLLOW US
SEC Opens Registration for RIA/RIC Compliance Outreach Programs
The SEC has opened registration for its compliance outreach program seminars for investment companies and investment advisers. The seminars will be offered in 4 cities and are geared for CCOs and other senior personnel. The programs are jointly sponsored by SEC’s OCIE, Investment Management Division, and Enforcement’s Asset Management Unit.
Here’s the 2017 schedule for these half-day seminars, along with their agenda topics:
- Portland, OR (5/17): Key exam program initiatives, exam procedures and selection process, and recent trends and issues in the Enforcement Division’s Asset Management Unit.
- New York, NY (6/7): Staff exams and observations, and topics of interest to advisers to private funds.
- Boston, MA (6/13): Key exam program initiatives, typical exam process, and topics of interest to advisers to private funds.
- Chicago, IL (6/13): Key exam program initiatives, exam procedures and selection process, common exam deficiencies, data analytics, and several hot topic panels generally applicable to both small and large firms. This seminar will be webcast.
[Click below link to register; direct questions to: ComplianceOutreach@sec.gov.]
Related Stories: Regulators
-
FINRA Election Notice: Upcoming Board of Governors Election
May 27, 2019 -
SEC and FINRA Compliance Outreach for Broker-Dealers
April 16, 2019 -
FINRA 'Inflates' Monetary Sanctions in Sanction Guidelines
March 1, 2019