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RegComplianceWatch
@IAWatch
Regulatory Compliance Watch shares news and guidance to help compliance professionals master federal securities rules.
Rockville, MD
Joined May 2011
5
Following
270
Followers
459
Posts
RegComplianceWatch
@IAWatch
over 6 years ago
Views expressed on opening up private offerings to non-accredited investors https://t.co/ajgBBnC1rM
RegComplianceWatch
@IAWatch
over 6 years ago
Roisman calls for best ex guidance, OPR review https://t.co/I7IGU0itwt
RegComplianceWatch
@IAWatch
over 6 years ago
Uncertainty exists whether Form CRS will affect institutional advisers https://t.co/HsTwoQoLbk
RegComplianceWatch
@IAWatch
over 6 years ago
New SEC rule seeks to ‘modernize’ ETF regulatory regime https://t.co/YpUAjbqYHZ
Who to follow
Elko Daily FreePress
@ElkoDaily
A 5-day a week newspaper with news coverage of Elko County, Nevada and surrounding communities. Send your tips and tweets to @ElkoDaily.
Tom Wentworth
@twentworth12
CMO @incident_io | ex @RecordedFuture @Acquia | Smashing Pumpkins superfan
Privata Affärer
@privataaffarer
Placeringstips och råd om aktier, fonder, sparande och privatekonomi.
RegComplianceWatch
@IAWatch
almost 7 years ago
Asset freeze ordered against IA charged with $100M fraud https://t.co/tU9faYXyCO
RegComplianceWatch
@IAWatch
almost 7 years ago
A plan for smaller mutual fund advisers to comply with coming deadline https://t.co/hvjyq9Z7aC
RegComplianceWatch
@IAWatch
almost 7 years ago
Don’t play the blame game and increase the likelihood you’ll hear of trade errors https://t.co/Ojk8XvrDsr
RegComplianceWatch
@IAWatch
almost 7 years ago
New CFTC Chairman Tarbert lays out his priorities https://t.co/84mckVi7cQ
RegComplianceWatch
@IAWatch
almost 7 years ago
A compliance staffer seeks to avoid work, deceives and is fired and barred https://t.co/7yXShHpfIL
RegComplianceWatch
@IAWatch
almost 7 years ago
Bringing to the forefront what you need to know about background checks https://t.co/0rMepocXjJ
RegComplianceWatch
@IAWatch
almost 7 years ago
Hedge fund agrees to pay $160,000 for exceeding CFTC position limits https://t.co/PzVdaBDDQ2
RegComplianceWatch
@IAWatch
almost 7 years ago
FINRA’s 2018 annual financial report reveals a $68 million loss https://t.co/ALiMwOgqqf
RegComplianceWatch
@IAWatch
almost 7 years ago
Subscriber-suggested story: Proceed with caution if your firm plans a political fundraiser https://t.co/8YlRha1Znn
RegComplianceWatch
@IAWatch
almost 7 years ago
SEC soliciting feedback on harmonization of private securities offering exemptions https://t.co/OMO2ykoYEj
RegComplianceWatch
@IAWatch
almost 7 years ago
SEC Commissioner Peirce suggests ETF rulemaking is ‘long overdue’ https://t.co/UUxAzyTRcy
RegComplianceWatch
@IAWatch
almost 7 years ago
Record settlement reached in SEC’s ongoing investigation of ADR practices https://t.co/qpMNpFEogf
RegComplianceWatch
@IAWatch
about 7 years ago
The mock interview should be a page in your SEC exam playbook https://t.co/OMQnIDZwSv
RegComplianceWatch
@IAWatch
about 7 years ago
Falling for fake documents cost adviser and others in $364 million fraud https://t.co/ceKVblJGag
RegComplianceWatch
@IAWatch
about 7 years ago
SEC set to return to the decades’ long issue of ‘solely incidental’ June 5 https://t.co/GngklBoVS3
RegComplianceWatch
@IAWatch
about 7 years ago
CFTC proposes simplifying processes for registered DCOs https://t.co/VdYyhhzTg9
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