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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…

Broker Dealer Regulation | Business Continuity | Conflicts of Interest | Form ADV | Form CRS | Mutual Funds | Private Funds | Regulation Best Interest | Regulatory Deadlines | SEC News | SEC Sweep Examinations

Coming Soon – Annual Form ADV Update for RIAs; SEC Answers More Questions on Reg BI and Form CRS FAQs, MA Leads the Pack by Adopting First State Fiduciary Standard Rule for Broker-Dealers, FINRA Wants to Know How Zero Commission Brokers are Making Money: Regulatory Update for March 2020

SEC Updates Reg BI FAQs. The SEC posted new FAQs to assist firms in complying with their obligations under Regulation Best Interest (“Reg BI”).  The new content covers what it…

Conflicts of Interest | Form ADV | Form ADV Disclosure | Form CRS | Investment Adviser Regulation | Regulation Best Interest | Regulatory Deadlines | SEC Rule changes

SEC Adopts Broker-Dealer Best Interest Standard, Approves Form CRS and Explains Advisers’ Fiduciary Duty; GIPS 2020 Standards Finalized; Epic Ethics Fail by Large Auditing Firm: Regulatory Update for July 2019

Time to Roll-Up Your Sleeves and Dive into Regulation Best Interest: There are many great resources out there that summarize the newly adopted Securities Exchange Act Rule 15l-1 (“Regulation BI”). …

529 plans | Chief Compliance Officer | FINRA Examinations | Form ADV | Regulatory Deadlines

March Madness for RIAs – Form ADV Annual Update; FINRA Hops on Share Class Bandwagon; More Big Fines for AML Failures and Dual-Hatted CCO takes a Fall: Regulatory Update for March 2019

Reminder: The deadline for filing the Form ADV update for investment advisers with a fiscal year end of December 31 is March 31, 2019, which is a Sunday.   IARD will…