Legal Perspectives on Current Regulatory Developments for BDs and IAs

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Compliance, Enforcement, Regulatory, Standard of Care

Filing Deadlines and To-Do List for December 2019

December 3, 2019 BDIA Editors Leave a comment

Cari Hopfensperger from Hardin Compliance Consulting LLC shares these important deadlines and to-dos:

Blue Sky Filings (Form D)
Annual Renewal Program for IARD System
2020 Preliminary Renewal Statement is due in full on Monday, December 16, 2019.
Supplemental Inventory Schedule (“SIS”)
Statement Regarding Independent Public Accountant
Rule 17a-5 Monthly and Fifth FOCUS Part II/IIA Filings
Annual Audit Reports for Fiscal Year-End October 31, 2019
Supplemental Inventory Schedule (“SIS”)
SIPC-3 Certification
SIPC-6 Assessment
SIPC-7 Assessment

Compliance, Enforcement

Lessons Learned from SEC and FINRA Cases for December 2019

December 3, 2019 BDIA Editors Leave a comment

SEC and FINRA case updates from our friends at Hardin Compliance Consulting LLC. Topics include:

What We’ve Got Here is a Failure to Communicate
Respect Your Elders!
Garbage In, Garbage Out: Morgan Stanley’s Epic Fail Caused by Flawed Tools and User Error

What’s Next?: Regulatory Update for November 2019

November 4, 2019 BDIA Editors Leave a comment

Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC.

Topics include:

Between a Rock and a Hard Place: SEC’s FAQs on Conflicts of Interest and Recent Settlements Set Bar Impossibly High for Advisers
RIAs — Get our Your Checkbooks! It’s Time to Fund Your Annual Renewal Accounts on IARD
SEC Establishes Asset Management Advisory Committee
$$ The 2020 Annual Renewal Program is Underway $$
FINRA Wants to Know if Broker-Dealers are Ready for Regulation Best Interest
Attention Underwriters, Syndicate Managers and Members, and Selling Group Members
Does Your Firm Issue Investment Fund Research Reports?
FINRA 2019 Industry Snapshot
2019 Report on FINRA Examination Findings and Observations
Leaders of CFTC, FinCEN, and SEC Issue Joint Statement on Activities Involving Digital Assets
SEC Adopts New ETF Rule and Modernizes ETF Regulations
Notice to Mutual Fund Managers – Review your Performance and Related Disclosures
NFA Updates Rules on Supervision

Read the full update here.

Compliance, Enforcement, Regulatory

SEC’s Relentless Pursuit of Comp-Related Conflict Disclosures: Lessons Learned from SEC and FINRA Cases and Worth Reading for November 2019

November 4, 2019 BDIA Editors Leave a comment

Cari Hopfensperger at Hardin Compliance Consulting LLC shares her insights regarding recent SEC and FINRA cases. Topics include:

SEC Takes Rare Action against Advisers for Voting Proxies
Large Adviser Fined for Paying Referral Fees without Telling Clients
SEC Charges Investment Adviser with Custody Rule and Related Violations
SEC Finds Failures to Supervise Rogue IAR and Implement Sufficient Policies and Procedures
Inadequate Comp-Related Conflict Disclosures Continue

Filing Deadlines and To-Do List for November 2019

November 4, 2019 BDIA Editors Leave a comment

Cari Hopfensperger from Hardin Compliance Consulting LLC shares these important deadlines and to-dos:

Annual Renewal Program for IARD System
Form 13F
Blue Sky Filings (Form D)
Form PF for Large Hedge Fund Advisers
Form CTA-PR
Form CPO-PQR
FINRA 2020 Renewal Program Preparations
Rule 17a-5 Monthly and Fifth FOCUS Part II/IIA Filings
Annu al Audit Reports for Fiscal Year-End September 30, 2019
SIPC-7 Assessment
SIPC-3 Certification
SIPC-6 Assessment

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Clifford E. Kirsch, Editor

Eversheds Sutherland

With more than 25 years of experience, Cliff regularly counsels clients on the design and distribution of investment products including wrap-fee programs and other advisory products, mutual funds, bank collective investment funds and insurance products. He also focuses on issues related to the design and implementation of compliance programs at financial services firms.