Legal Perspectives on Current Regulatory Developments for BDs and IAs

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Monthly Archives: February 2020

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SEC & FINRA Set Exam Priorities; SEC Issues Cybersecurity Tips and FINRA Punishes Firms for UGMA and UTMA Failures

February 5, 2020 Cari Hopfensperger Leave a comment

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

Read more here

Clifford E. Kirsch, Editor

Eversheds Sutherland

With more than 25 years of experience, Cliff regularly counsels clients on the design and distribution of investment products including wrap-fee programs and other advisory products, mutual funds, bank collective investment funds and insurance products. He also focuses on issues related to the design and implementation of compliance programs at financial services firms.

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Contributors

Anna T. Pinedo (10)
Benjamin T. Marzouk (10)
BDIA Editors (32)
Cari Hopfensperger (21)
Cheryl L. Haas (2)
Clifford E. Kirsch (26)
David F. Freeman, Jr. (3)
Ernest Badway (5)
Jaqueline Hummel (4)
Kenneth J. Berman (2)
Lauren C. Jackson (5)
Lilya Tessler (2)
Peter M. Rosenblum (2)
Richard Chen (25)
Ronak V. Patel (4)
Susan Grafton (2)

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  • FINRA Foundation Announces New Appointments to Board of Directors

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