{"id":1031,"date":"2020-02-05T15:37:44","date_gmt":"2020-02-05T15:37:44","guid":{"rendered":"http:\/\/localhost\/?p=1031"},"modified":"2020-02-11T21:48:21","modified_gmt":"2020-02-11T21:48:21","slug":"sec-sec-issues-cybersecurity-tips-and-finra-punishes-firms-for-ugma-and-utma-failures","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2020\/02\/05\/sec-sec-issues-cybersecurity-tips-and-finra-punishes-firms-for-ugma-and-utma-failures\/","title":{"rendered":"SEC &#038; FINRA Set Exam Priorities; SEC Issues Cybersecurity Tips and FINRA Punishes Firms for UGMA and UTMA Failures"},"content":{"rendered":"<p>February\u00a0Regulatory Updates from\u00a0<a href=\"https:\/\/www.hardincompliance.com\/team\/cari-a-hopfensperger\/\">Cari Hopsfenperger<\/a>\u00a0at Hardin Compliance Consulting LLC.<\/p>\n<p>Topics include:<\/p>\n<ul>\n<ul>\n<li><a href=\"https:\/\/www.sec.gov\/about\/offices\/ocie\/national-examination-program-priorities-2020.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\"><strong>OCIE Announces 2020 Examination Priorities<\/strong><\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/files\/OCIE%20Cybersecurity%20and%20Resiliency%20Observations.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\"><strong>OCIE\u2019s Latest Best Seller: Tips on How to Improve Cybersecurity<\/strong><\/a><\/li>\n<li>Tools for Navigating Form CRS and Regulation Best Interest<\/li>\n<li><a href=\"https:\/\/www.billtrack50.com\/BillDetail\/1083112\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\"><strong>New Jersey Adopts Safeguarding Against Financial Exploitation Act<\/strong><\/a><\/li>\n<li><a href=\"https:\/\/www.hardincompliance.com\/blog\/secs-top-eleven-hits-investment-adviser-regulatory-review-2019\/\" data-wpel-link=\"internal\"><strong>SEC\u2019s Top Eleven Hits: Investment Adviser Regulatory Review 2019<\/strong><\/a><\/li>\n<li><a href=\"https:\/\/www.hardincompliance.com\/blog\/investment-adviser-compliance-to-do-list-for-2020\/\" data-wpel-link=\"internal\"><strong>Investment Advisers Compliance \u201cTo Do\u201d List for 2020<\/strong><\/a><\/li>\n<li><strong>Top 10 Hits Regulatory Review <\/strong><a href=\"https:\/\/www.hardincompliance.com\/blog\/secs-top-10-hits-investment-adviser-regulatory-review-2019-part-1\/\" data-wpel-link=\"internal\"><strong>Part 1<\/strong><\/a><strong> and <\/strong><a href=\"https:\/\/www.hardincompliance.com\/blog\/secs-top-10-hits-investment-adviser-regulatory-review-2019-part-2\/\" data-wpel-link=\"internal\"><strong>Part 2<\/strong><\/a><\/li>\n<li><strong><a href=\"https:\/\/www.hardincompliance.com\/blog\/broker-dealer-compliance-to-do-list-for-2020-2\/\" data-wpel-link=\"internal\">Broker-Dealer Compliance \u201cTo Do\u201d List for 2020<\/a><\/strong><\/li>\n<li><a href=\"https:\/\/www.hardincompliance.com\/blog\/broker-dealer-2019-regulatory-year-in-review\/\" data-wpel-link=\"internal\"><strong>Broker-Dealer 2019 Regulatory Year in Review<\/strong><\/a><\/li>\n<li><a href=\"https:\/\/www.finra.org\/rules-guidance\/communications-firms\/2020-risk-monitoring-and-examination-priorities-letter\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\"><strong>FINRA Publishes its 2020 Risk Monitoring and Examination Priorities Letter<\/strong><\/a><\/li>\n<li><a href=\"https:\/\/casetext.com\/regulation\/michigan-administrative-code\/department-licensing-and-regulatory-affairs\/corporations-securities-and-commercial-licensing\/securities\/securities\/part-4-broker-dealers-agents-investment-advisers-investment-adviser-representatives-and-federal-covered-investment-advisers\/section-r-45145-registration-exemption-for-investment-advisers-to-private-funds\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\"><strong>State of Michigan \u2013 New Private Fund Registration Exemption<\/strong><\/a><\/li>\n<li><a href=\"https:\/\/www.finra.org\/media-center\/newsreleases\/2019\/finra-sanctions-five-firms-failure-reasonably-supervise-custodial\">UGMA and UTMA Uniform Transfer to Minors Act and Uniform Gifts to Minors Act<\/a><\/li>\n<\/ul>\n<\/ul>\n<p><a href=\"https:\/\/www.hardincompliance.com\/blog\/regulatory-updates\/sec-sec-issues-cybersecurity-tips-and-finra-punishes-firms-for-ugma-and-utma-failures-regulatory-update-for-february-2020\/\">Read more here<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>February\u00a0Regulatory Updates from\u00a0Cari Hopsfenperger\u00a0at Hardin Compliance Consulting LLC. Topics include: OCIE Announces 2020 Examination Priorities OCIE\u2019s Latest Best Seller: Tips on How to Improve Cybersecurity Tools for Navigating Form CRS and Regulation Best Interest New Jersey Adopts Safeguarding Against Financial Exploitation Act SEC\u2019s Top Eleven Hits: Investment Adviser Regulatory Review 2019 Investment Advisers Compliance \u201cTo &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2020\/02\/05\/sec-sec-issues-cybersecurity-tips-and-finra-punishes-firms-for-ugma-and-utma-failures\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">SEC &#038; FINRA Set Exam Priorities; SEC Issues Cybersecurity Tips and FINRA Punishes Firms for UGMA and UTMA Failures<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":90,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[1],"tags":[],"class_list":["post-1031","post","type-post","status-publish","format-standard","hentry","category-uncategorized"],"aioseo_notices":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1031","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/users\/90"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=1031"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1031\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1031"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1031"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1031"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}