Category: Form ADV
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…
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…
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…