Regulatory Compliance Watch

Regulator Compliance Watch is your top resource for clear answers to your most challenging questions about IA, BD, CPO/CTA, and Private Fund compliance. Our service provides the latest news, unique insights, and effective best practices along with a full range of compliance tools at your fingertips. Our experts have direct connections with policymakers and knowledgeable peers, ensuring that subscribers receive early alerts about new regulations and straightforward advice to navigate complicated government rules.

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Lawmakers urge SEC to repeal 14 rules

1 week ago | regcompliancewatch.com | Carl Ayers

Political leaders in Washington, D.C. are looking to persuade the SEC to reverse direction on many of the new rules created during the chairmanship of Gary Gensler
CFTC No-Action Letter: Criteria to determine referrals to the Division of Enforcement

1 week ago | regcompliancewatch.com | Carl Ayers

CFTC No-Action Letter: Criteria to determine referrals to the Division of EnforcementThis guidance discusses the criteria that CFTC divisions will use to determine whether to make a referral to DOE for self-reported violations or supervision or non-compliance issues
CFTC No-Action Letter: ETFs as eligible margin collateral for uncleared swaps transactions

1 week ago | regcompliancewatch.com | Carl Ayers

The staff's interpretation clarifies that swap dealers and major swap participants may post and collect with counterparties certain U.S. Treasury ETFs as initial margin and variation margin for uncleared swap transactions
More strategies around off-channel comms

1 week ago | regcompliancewatch.com | Carl Ayers

The firm elected to buy business phones for all staff, which has been shown to be a smart move
Don’t forget investors after a lawsuit

1 week ago | regcompliancewatch.com | Carl Ayers

The lesson arising from a new SEC enforcement settlement against an investment adviser teaches that if money later comes to the firm via a lawsuit tied to a shuttered fund, don’t neglect to share the proceeds with the former investors
Tell FINRA what rules could use changing

1 week ago | regcompliancewatch.com | Hugh Kennedy

Welcome!Log into your account Recover your password Home Broker-Dealers BD Latest News Tell FINRA what rules could use changing Return to search Gain instant access to our expert editorial analysis and in-depth insight.
SEC final rule: Form N-PORT reporting, delays in compliance dates

1 week ago | regcompliancewatch.com | Carl Ayers

Welcome!Log into your account Recover your password Home Investment Advisers IA Rules & Regulatory Actions SEC final rule: Form N-PORT reporting, delays in compliance dates Return to search Gain instant access to our expert editorial analysis and in-depth insight.
SEC Commissioner Peirce has questions for crypto roundtable

1 week ago | regcompliancewatch.com | Carl Ayers

Welcome!Log into your account Recover your password Home Investment Advisers IA Speeches SEC Commissioner Peirce has questions for crypto roundtable Return to search Gain instant access to our expert editorial analysis and in-depth insight.
SEC drops MNPI case

1 week ago | regcompliancewatch.com | Bill Myers

Welcome!Log into your account Recover your password Home Private Funds PF Latest News SEC drops MNPI case Return to search Gain instant access to our expert editorial analysis and in-depth insight.
SEC Commissioner praises new guidance on crypto offerings

2 weeks ago | regcompliancewatch.com | Carl Ayers

"The Division’s statement is not a definitive how-to guide for the come-in-and-register invitation that befuddled so many in recent years.[2] Rather, it is a small step in identifying relevant disclosures so that investors have material information about the projects and businesses in which they are investing"