Regulatory Compliance Watch

Alerts addressed municipal advisors, investment companies, broker-dealers, marketing rule compliance, shortening the settlement cycle and security-based swap dealers. Read the story here to learn more: https://okt.to/7yc2HN #RCW #RegulatoryCompliance #MunicipalAdvisors

'If private is safe and risky, and public is safe and risky, why do we think they’re any different?' Apollo Chief Executive Marc Rowan tells Hong Kong conference. Read the story here to learn more: https://okt.to/ZVIigY #RCW #RegulatoryCompliance #PrivateFunds #Regulators

On December 10, the SEC's investment advisory committee convened to explore strategies for involving retail investors in private funds, a topic likely to reemerge with the upcoming administration shift next month Read the story here to learn more: https://okt.to/79ogNH #RCW #RegulatoryCompliance #PrivateFunds #Regulators

Find out what's hot in the regulatory compliance world with the latest 𝗥𝗖𝗪 𝗪𝗲𝗲𝗸𝗹𝘆 𝗕𝗿𝗶𝗲𝗳𝗶𝗻𝗴: ▪️ The latest on an international tussle between two regulators with IAs in the middle ▪️ See how the IAA fared last year ▪️ The prospects of retail investors being able to invest in private funds ▪️ And much more here ➡️ https://okt.to/fydMAP #RCW #RegulatoryCompliance #SEC #PrivateFunds #ESG

We’ve been following for years the regulatory slug match between the SEC and Switzerland’s Financial Market Supervisory Authority over whether SEC-registered RIAs in that country can share certain records with the Commission. Read the story here to learn more: https://okt.to/NFGehw #RCW #RegulatoryCompliance #International #SEC

A former executive of a California investment adviser is due in federal court Dec. 6 on criminal charges that he ran a $600 million cherry-picking scheme. Read the story here to learn more: https://okt.to/6nF9eA #RCW #RegulatoryCompliance #PrivateFunds #Enforcement

While federal regulators and legislators may be perplexed about how to handle AI, many states aren’t standing still on the question. Read the story here to learn more: https://okt.to/uwEF91 #RCW #RegulatoryCompliance #ArtificialIntelligence

Find out what's hot in the regulatory compliance world with the latest 𝗥𝗖𝗪 𝗪𝗲𝗲𝗸𝗹𝘆 𝗕𝗿𝗶𝗲𝗳𝗶𝗻𝗴: ▪️ States' efforts to regulate AI ▪️ 𝗦𝗘𝗖 hits a new record ▪️ Guidance for social media posts ▪️ And much more here ➡️ https://okt.to/u9OPd0 #RCW #RegulatoryCompliance #ArtificalIntelligence #FinCEN #SEC #PrivateEquity #BrokerDealers

New York-based broker-dealer permitted foreign individuals to conduct a securities business using its systems when they weren't registered with FINRA. Read the story here to learn more: https://okt.to/7kYrRy #RCW #RegulatoryCompliance #BrokerDealers #FINRA #AML #Trading

Earn CLE/CPE credits for 2024 with Regulatory Compliance Watch's expertly crafted webinars. These sessions offer valuable insights and actionable strategies to help you tackle the intricacies of compliance, stay informed on shifting regulations, and grasp the current industry challenges. Earn your 2024 CLE/CPE credits today! https://okt.to/yz4XLc #RCW #RegulatoryCompliance #PrivateFunds #DueDiligence #ESG #SEC #OCC #Cybersecurity #Compliance #CustodyRule #ArtificalIntelligence #CLE #CPE #Webinars