Jaqueline Hummel at Hardin Compliance Consulting LLC has shared Hardin’s list of rules, enforcement actions and regulatory developments for broker-dealers from 2018.
Highlights include:
2018 New & Amended Rules
2018 Notable Regulatory Enforcement Actions
2018 Cryptocurrency Developments
2018 Notable Regulatory Announcements
2019 Upcoming Rule Amendments
To help compliance officers plan their regulatory calendars for 2019, we are pleased to share Hardin Compliance Consulting’s lists of regulatory requirements for Broker-Dealers and Investment Advisers. While not intended to be exhaustive, it does provide a monthly “to do” list to assist you in planning for the year ahead . . .
Now if we could just find someone to do this for the other aspects of our lives. . .
January Regulatory Updates from Jaqueline Hummel at Hardin Compliance Consulting LLC.
Topics include:
December Regulatory Updates from Jaqueline Hummel at Hardin Compliance Consulting LLC.
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November Regulatory Updates from Jaqueline Hummel at Hardin Compliance Consulting LLC.
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