May Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC.
Topics include:
- Bringing Back BICE
- FINRA’s 2021 Entitlement User Account Certification Period Commences
- Gary Gensler Confirmed as New SEC Chair
- The Division of Examinations’ Review of ESG Investing
- SEC Issues Risk Alert to Broker-Dealers Identifying Known Deficiencies Related to AML Programs
- SEC Issues Risk Alert to Broker-Dealers Identifying Known Deficiencies Related to AML Programs
- FINRA Regulatory Notice 21-09: FINRA Adopts Rules to Address Brokers with a Significant History of Misconduct
- Regulatory Notice 21-07: FINRA Provides Guidance on Common Sales Charge Discounts and Waivers for Investment Company Products
- SEC Charges Auditor for Failing to Register with the PCAOB
- Lies of Omission are Still Lies – Individuals Censured, Barred Over Private Fund Disclosures