Category: Custody
Broker Dealer Regulation | Business Continuity | Conflicts of Interest | Custody | cybersecurity | Form CRS | Hedge Funds | Investment Adviser Regulation | Regulation Best Interest | Regulatory Deadlines | SEC News | SEC Rule changes
No Slack for Firms on Compliance with Reg BI and Form CRS; SEC Eases Deadlines and Restrictions on Custody and Mutual Funds, and Disclosure of PPP Loans for Advisers: Regulatory Update for May 2020
SEC Provides Scope and Content of Upcoming Examinations Related to Form CRS. After June 30, 2020, the Office of Compliance Inspections and Examinations (“OCIE”) plans to examine subject broker-dealers and…
Broker Dealer Regulation | Business Continuity | Conflicts of Interest | Custody | cybersecurity | Form ADV | Investment Adviser Regulation | Mutual Fund Regulation | Private Funds | SEC News
COVID-19 Tests Firms’ BCP Efforts and Regulators Step Up with Relief; Conflicts of Interest and Custody Rule Stay on SEC’s Radar Screen, and Resources for Dealing with the Pandemic: Regulatory Update for April 2020
Like many businesses and families, we at Hardin remain concerned about the COVID-19 pandemic and its impacts to our clients, employees and the larger global community that connects us. We…
12b-1 Fees | 529 plans | cryptocurrency | Custody | FINRA Rule Changes | Mutual Fund Regulation | Private Funds | Regulatory Deadlines | SEC News | SEC Rule changes
SEC Asks for Help Understanding Digital Assets and Custody Rule, FINRA Issues FAQs on 529 Self-Reporting Request, New Testing for Swap Traders and 79 Firms Settle with SEC in Share Class Initiative
IA Watch Webinar on Real-Life Lessons on BCPs with Jill Grenda, Managing Director at Hardin Compliance Consulting: Don’t miss IA Watch’s FREE webinar, Real-Life Lessons Learned from Peers Who’ve Had…
12b-1 Fees | Conflicts of Interest | Cross Trading | Custody | Mutual Fund Regulation | Mutual Funds | NFA
Time to Pay Your Dues, Increase Cross Trade Testing and Disclose Your Conflicts: Regulatory Update November 2018
Photo by Matt Seymour on Unsplash Annual Renewal Program for IARD System: Get out your checkbooks! It is time for the annual renewal of investment adviser (IA) firms and their IA representatives’ (IARs)…
Advertising and Marketing | Best Execution | Custody | Mutual Fund Regulation | Mutual Funds | Pay to Play | SEC Examinations
Best Execution Tips, FINRA Impostors, Changes in Liquidity Disclosures for Funds and Pay-to-Play Fines: Regulatory Update for August 2018
OCIE Issues Risk Alert on Best Execution: The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert to provide investment advisers with information about the most common…
CFTC | Conflicts of Interest | Custody | DOL Fiduciary Rule | FINRA Rule Changes | Hedge Funds | ICO | Municipal Advisors | Mutual Funds | Private Funds | SEC News
SEC Hits Pause Button for ALJs; Updates on Custody Rule; SEC Director Discusses What Makes Cryptocurrency a Security; Mutual Funds Allowed to Save Trees: Regulatory Update for July 2018
SEC Stops All In-House Cases after Defeat in Supreme Court: The SEC enforcement division suffered a blow when the U.S. Supreme Court held that the process for hiring SEC’s administrative…
Best Execution | Custody | FINRA Rule Changes | Form ADV | MiFID II | SEC Examinations
Regulatory Update November 2017
SEC Addresses Impact of MiFID II with Three No-Action Letters: The SEC has issued three no-action letters to help market participants comply with the European Union’s Markets in Financial Instruments…
Advertising and Marketing | Best Execution | Conflicts of Interest | Custody | FINRA Rule Changes | Private Funds | SEC Examinations
Regulatory Update for October 2017
Risk Alert: The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers: The Office of Compliance Inspections and Examinations (“OCIE”) shared its list of “Most Frequent…
Custody | FATCA | FINRA Rule Changes
Regulatory Update May 2017
FINRA Provides Regulatory Support to Firms When Addressing Financial Exploitation of Specified Adults: Effective February 5, 2018, new FINRA Rule 2165 will allow firms to exercise discretion in placing a…
Custody | cybersecurity | DOL Fiduciary Rule | Form ADV | IARD | Pay to Play | Regulatory Deadlines | SEC Exam | SEC Examinations
Regulatory Update for March 2017
DOL Fiduciary Rule Status: 60 days of breathing room! The DOL has announced a proposed extension of the applicability date from April 10 to June 9, 2017. OCIE releases Top…