Legal Perspectives on Current Regulatory Developments for BDs and IAs

Legal Perspectives on Current Regulatory Developments for BDs and IAs

Search
Skip to content
  • Practising Law Institute
  • Treatises
Regulatory, Standard of Care, Compliance, Enforcement

ADV Season is Here; Compliance Resources for Brokers and RIAs; Don’t Forget Your CPO Annual Affirmations; SEC Creates 5-Year “Sandbox” for BD Custody of Digital Assets

February 8, 2021 Cari Hopfensperger Leave a comment

February Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC.

Topics include:

  • Custody of Digital Asset Securities by Special Purpose Broker-Dealers
  • Annual Amendments to Form ADV and CRS Due March 31, 2021
  • Brokers Named as Beneficiary or Holding a Position of Trust on Behalf of Customers
  • Reminder: Background Check Rules Now Apply to Funds Reaffirming Rule 4.13 Exemption
  • Robinhood Failed to Disclose True Cost of Commission-Free Trades to Customers

Read the full update here.

Share

Post navigation

Previous PostOn the right track: Securities & Exchange Commission adopts rules to streamline private offering exemptionsNext Post“Luke, I am your father.” (Or not.) Collective False Memory and SEC and FINRA Enforcement Issues from November and December 2020

Leave a Reply Cancel reply

Your email address will not be published. Required fields are marked *

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.

Sign up for BD/IA updates

Briefings

RSS Error: WP HTTP Error: error:14077410:SSL routines:SSL23_GET_SERVER_HELLO:sslv3 alert handshake failure

Contributors

Anna T. Pinedo (10)
Benjamin T. Marzouk (10)
BDIA Editors (30)
Cari Hopfensperger (7)
Cheryl L. Haas (2)
Clifford E. Kirsch (25)
David F. Freeman, Jr. (3)
Ernest Badway (1)
Jaqueline Hummel (4)
Kenneth J. Berman (2)
Lilya Tessler (2)
Peter M. Rosenblum (2)
Ronak V. Patel (2)
Susan Grafton (2)

RSS "Other News"

  • FINRA Foundation Seeks Applicants for Military Spouse Fellowship
  • SR-FINRA-2018-012
  • FINRA Warns Investors of 'Regulator' Imposter Scams
  • Investor Alert: Credit Cards and Investments – A Risky Combination
  • FINRA Foundation Announces New Appointments to Board of Directors

Questions or comments?

Contact us at InquiriesBDIABlog@pli.edu

Categories

  • Compliance
  • Enforcement
  • International
  • Regulatory
  • Standard of Care
  • Uncategorized

Videos

  1. Fundamentals of Broker-Dealer Regulation 2019 (excerpt)

    Speakers: Joseph Brady, North American Securities Administrators Association (NASAA), Evan Charkes, Bank of America, Clifford E. Kirsch, Eversheds Sutherland (US) LLP, Stephanie Nicolas, WilmerHale LLP

    Share

    Broker-Dealer Standard of Conduct: Living with Reg. BI and a Patchwork of State Fiduciary Regs

    February 20, 2019 BDIA Editors Leave a comment
More videos →

Recent Posts

  • New Year, Old Problem: Broker-Dealers Should Evaluate Their Supervision of Personal Device Use
  • What to Expect from the SEC Under the Biden Administration
  • When PPP met OBA – An Investigation was Born
  • “Luke, I am your father.” (Or not.) Collective False Memory and SEC and FINRA Enforcement Issues from November and December 2020
  • ADV Season is Here; Compliance Resources for Brokers and RIAs; Don’t Forget Your CPO Annual Affirmations; SEC Creates 5-Year “Sandbox” for BD Custody of Digital Assets

Archives

  • February 2021
  • December 2020
  • November 2020
  • October 2020
  • September 2020
  • July 2020
  • June 2020
  • March 2020
  • February 2020
  • January 2020
  • December 2019
  • November 2019
  • October 2019
  • September 2019
  • August 2019
  • June 2019
  • May 2019
  • April 2019
  • February 2019
  • January 2019
  • December 2018
  • November 2018
  • October 2018
  • September 2018
  • February 2018
  • November 2017
  • October 2017
  • September 2017
  • August 2017
  • July 2017
  • June 2017
  • May 2017
  • April 2017
  • March 2017
  • February 2017
  • January 2017
  • December 2016
  • November 2016
  • October 2016
  • July 2016
  • June 2016
  • April 2016
  • February 2016
  • January 2016
Proudly powered by WordPress