June Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC.
Topics include:
- DOL issues Cybersecurity Guidance — The DOL guidance was published in three separate pieces: Tips for Hiring a Service Provider with Strong Cybersecurity Practices, Cybersecurity Program Best Practices, and Online Security Tips for Participants and Beneficiaries. Contributed by Glenn R. Skreppen, Senior Compliance Consultant
- Updates to State Senior Laws & Resources — The law firm of Bressler, Amery and Ross, has created and continues to update its Senior and Vulnerable Investors Issues map, with summaries of the requirements for all 50 states. Contributed by Carolyn W. Mendelson, Senior Compliance Consultant
- Form ID Updates
- NASAA Annual Report on State Registered Advisers
- 2021 Cayman CRS (and FATCA) Updates
- Do Your Options Procedures Need Work?
- Can You Pass This Quiz Regarding the Use of Predispute Arbitration Agreements?
- SEC Charges Broker-Dealer for Failing to File SARS
