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RegComplianceWatch

@IAWatch

Regulatory Compliance Watch shares news and guidance to help compliance professionals master federal securities rules.

 Rockville, MD
regcompliancewatch.com
Joined May 2011
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Views expressed on opening up private offerings to non-accredited investors bit.ly/2lUjBH4
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Roisman calls for best ex guidance, OPR review bit.ly/2nyXl5P
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Uncertainty exists whether Form CRS will affect institutional advisers bit.ly/2lTGlad
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New SEC rule seeks to ‘modernize’ ETF regulatory regime bit.ly/2m5osoF
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Asset freeze ordered against IA charged with $100M fraud bit.ly/2HCESwi
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A plan for smaller mutual fund advisers to comply with coming deadline bit.ly/32dJdOv
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Don’t play the blame game and increase the likelihood you’ll hear of trade errors bit.ly/32lIA5H
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New CFTC Chairman Tarbert lays out his priorities bit.ly/2YOOOMY
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A compliance staffer seeks to avoid work, deceives and is fired and barred bit.ly/2YEU6uJ
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Bringing to the forefront what you need to know about background checks bit.ly/2YJpmsq
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