Category: Form ADV
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…
FINRA Examinations | Form ADV | IARD | MiFID II
Form ADV Deadlines, Updates to Compliance Programs, FINRA Priorities and Protection of Specified Adults: Regulatory Update for February 2018
Regulatory Review 2017: HCC put together a list of the top regulatory hot buttons from 2017 to help you focus your compliance efforts in 2018. 11 Key Takeaways for Updating…
DOL Fiduciary Rule | Form ADV | Municipal Advisors | Pay to Play | Regulatory Deadlines | SEC Examinations | SEC News
Regulatory Update December 2017
Fiduciary Rule Delayed — Yet Again: The final exemptions related to the Department of Labor Fiduciary Rule were once again officially delayed. This means that full compliance with the Fiduciary…
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…
cybersecurity | DOL Fiduciary Rule | FINRA Rule Changes | Form ADV | Form ADV Disclosure
Regulatory Update for September 2017
Fiduciary Rule Delayed — yet again — until July 1, 2019. The Office of Management and Budget (OMB) moved at lightning speed (for a governmental entity) in approving a proposal…
CFTC | Chief Compliance Officer | DOL Fiduciary Rule | FINRA Rule Changes | Form ADV | Form ADV Disclosure | Municipal Advisors | TRACE
Regulatory Update July 2017
Updates to Form ADV FAQs: SEC’s Division of Investment Management announced updates to its FAQs on Form ADV and IARD in its latest Information Update dated June 2017. Here’s a…
12b-1 Fees | DOL Fiduciary Rule | Form ADV | Form ADV Disclosure
Regulatory Update June 2017
DOL Fiduciary Rule Effective June 9, 2017: The June 9, 2017 deadline imposed by the Department of Labor’s (DOL) Fiduciary Rule is coming up fast. Just to recap, back in…
DOL Fiduciary Rule | Form ADV | Form ADV Disclosure | Regulatory Deadlines | SEC News | Trading Away | Wrap Accounts
Regulatory Update April 2017
Matthew Hardin will be speaking at the 2017 Financial Markets Association Securities Seminar in Fort Lauderdale, April 26-28. For more information, check out the Financial Markets Association website. Hope to see…
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…
DOL Fiduciary Rule | FINRA Examinations | Form ADV | IARD | Regulatory Deadlines | SEC Examinations
Regulatory Update for February 2017
SEC Exam priorities for 2017: The SEC’s Office of Compliance Inspections and Examinations (OCIE) released its 2017 examination priorities, including some golden oldies from 2016 and a few new twists. …