February Regulatory Updates from Jaqueline Hummel at Hardin Compliance Consulting LLC.
Topics include:
- OCIE Announces 2019 Examination Priorities
- Regulatory Review 2018
- 11 Key Takeaways for Updating your Compliance Program in 2019
- Investment Advisers Compliance to Do List for 2019
- FINRA Provides Additional Guidance to Enhance your Cybersecurity Program
- Broker-Dealer Compliance to Do List for 2019
- Broker-Dealer 2018 Regulatory Year in Review
- Broker-Dealers! Be Sure to Whitelist noreply@finra.org
- 2019 Annual Entitlement User Accounts Certification Process
- FINRA 2019 Annual Risk Monitoring and Examination Priorities Letter FINRA
- NFA Members Need to Update Cybersecurity Programs
- CPOs required to Implement Internal Controls
- SEC Cries Foul for Failure to Disclose Private Equity Fund Expense Allocation Practices
- Plus Ça Change, Plus C’est La Même Chose: Robo-Advisers and Advertising Issues
- 12b-1 Enforcement Continues
