October Regulatory Updates from Cari Hopsfenperger at Foreside.
Topics include:
- Mississippi Adopts Model Rule for investment advisor representative (IAR) Continuing Education
- Mark Your Calendars: The IARD and CRD Renewal Programs Have Begun; Renewal Payments Due December 13, 2021: To get detailed information about the 2022 Annual Renewal Programs, including the complete timeline, payment methods, helpful tips, and FAQs, click the following links:
- Required Reading: FINRA’s and NFA Notices on Vendor Oversight and Due Diligence
- The SEC Finds Advisors Response to Phishing Attacks, a Day Late and a Dollar Short
- Advisor Experiences the Horror of Failure to Supervise Remote IARs
- Firm Principals Pay the Price for Riskless Principal Trades
- New Technology but Same Old Conflicts
- “Keeping it in the Family” is a Bad Compliance Strategy
- The First of Many Cases on Breach of Duty – IAR Fined and Suspended, and RIA is Punished for Failing to Perform Suitability Analysis