February Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC.
Topics include:
- OCIE Announces 2020 Examination Priorities
- OCIE’s Latest Best Seller: Tips on How to Improve Cybersecurity
- Tools for Navigating Form CRS and Regulation Best Interest
- New Jersey Adopts Safeguarding Against Financial Exploitation Act
- SEC’s Top Eleven Hits: Investment Adviser Regulatory Review 2019
- Investment Advisers Compliance “To Do” List for 2020
- Top 10 Hits Regulatory Review Part 1 and Part 2
- Broker-Dealer Compliance “To Do” List for 2020
- Broker-Dealer 2019 Regulatory Year in Review
- FINRA Publishes its 2020 Risk Monitoring and Examination Priorities Letter
- State of Michigan – New Private Fund Registration Exemption
- UGMA and UTMA Uniform Transfer to Minors Act and Uniform Gifts to Minors Act