June Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC.
Topics include:
- Reg BI and Form CRS are here! Now what?
- Did you know that June 15th was World Elder Abuse Awareness Day (WEAAD)?
- Form CRS and the Land of Oz…State considerations for Form CRS
- West Virginia Enacts Senior Safe Legislation
- Temporary Relief extended for In-Person Board Meetings
- Another Adviser Nailed for Inadequate Handling of Material Nonpublic Information
- The Fat Lady Has Not Sung Yet… the SEC Continues its Crusade against “Inadequate Disclosure” of Mutual Fund Fees
- Former RIA COO Barred from Industry
