August Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC.
Topics include:
- Trading Restrictions Impacting Chinese Military Companies Persist but Modified Under New Executive Order
- Colorado Becomes the Third U.S. State to Pass Comprehensive Data Privacy Act
- SEC Adopts Inflation-Adjusted Threshold for Qualified Clients
- Amended CPO Form-PQR Filing Requirements are Effective
- Keeping Current with Best Execution and Payment for Order Flow
- Changes to Interpretations of FINRA’s Margin Rule
- Private Placement Filing Requirements Updated to Include Retail Communications
- And the Award for Largest Financial Penalty Ever Issued by FINRA Goes to…
- Auditors Charged with Widespread Private Fund Audit Failures
- TIAA CREF Learns Greed is Not So Good, Paying $97 Million Fine for Disclosure Failures
- SEC Continues to Hammer Advisors on Disclosure Failures in Revenue Sharing Cases
- Does Your Compliance Manual Violate Whistleblower Rules?