{"id":1042,"date":"2020-06-01T16:30:28","date_gmt":"2020-06-01T16:30:28","guid":{"rendered":"http:\/\/localhost\/?p=1042"},"modified":"2020-06-01T16:30:28","modified_gmt":"2020-06-01T16:30:28","slug":"nj-joins-other-states-to-protect-seniors-nasaa-warns-smaller-advisers-about-cybersecurity-risks-sec-settles-valuation-and-fund-expense-wrap-fee-actions","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2020\/06\/01\/nj-joins-other-states-to-protect-seniors-nasaa-warns-smaller-advisers-about-cybersecurity-risks-sec-settles-valuation-and-fund-expense-wrap-fee-actions\/","title":{"rendered":"NJ Joins Other States to Protect Seniors, NASAA Warns Smaller Advisers about Cybersecurity Risks, SEC Settles Valuation, and Fund Expense &#038; Wrap Fee Actions"},"content":{"rendered":"<p>June Regulatory 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<li><strong><a href=\"https:\/\/www.njconsumeraffairs.gov\/bos\/Documents\/SAFE-Pamphlet-Law.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">New Jersey Adopts Its Own Senior Safe Legislation<\/a><\/strong><\/li>\n<li><a href=\"https:\/\/www.nasaa.org\/wp-content\/uploads\/2020\/04\/2020-IA-Section-Report-FINAL.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">NASAA 2020 Investment Adviser Section Annual Report<\/a><\/li>\n<li><a href=\"https:\/\/www.nfa.futures.org\/news\/newsNotice.asp?ArticleID=5225\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Notice to Members I-20-20: Coronavirus Update \u2013 Relief from Fingerprinting Requirements<\/a><\/li>\n<li><a href=\"https:\/\/www.nfa.futures.org\/news\/newsNotice.asp?ArticleID=5223\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Notice to Members I-20-18:\u00a0 Amendments to NFA Compliance Rule 2-29 and Related Interpretive Notice Now Effective<\/a><\/li>\n<li><a href=\"https:\/\/www.finra.org\/sites\/default\/files\/fda_documents\/2018060228201%20Kestra%20Investment%20Services%2C%20LLC%20CRD%2042046%20AWC%20sl.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Broker-Dealer Recruiting Tactics Lead to Reg S-P Violations<\/a><\/li>\n<li><strong><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2020\/ia-5485.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">\u201cMay\u201d I? No, You \u201cMay\u201d Not!\u00a0 SEC Settles with Private Equity Adviser with Conflicted Expense Reimbursements<\/a><\/strong><\/li>\n<li><strong><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2020\/ia-5491.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Whoops!\u00a0 I Did It Again!\u00a0 Adviser Fails to Learn from Mistakes, Blows up Fund<\/a><\/strong><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2020\/34-88856.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Five Million Reasons Why Wrap Fee Transparency is Important<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2020\/ia-5489.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Mutual Fund Manager Misprices Odd Lot Bonds, Overstates NAV and Related Performance<\/a><\/li>\n<\/ul>\n<p><a href=\"http:\/\/localhost\/index.php\/2020\/01\/21\/the-occs-2019-annual-report-addresses-anti-money-laundering-risks-for-financial-institutions\/\">Read more here<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>June Regulatory Updates from\u00a0Cari Hopsfenperger\u00a0at Hardin Compliance Consulting LLC. Topics include: New Jersey Adopts Its Own Senior Safe Legislation NASAA 2020 Investment Adviser Section Annual Report Notice to Members I-20-20: Coronavirus Update \u2013 Relief from Fingerprinting Requirements Notice to Members I-20-18:\u00a0 Amendments to NFA Compliance Rule 2-29 and Related Interpretive Notice Now Effective Broker-Dealer Recruiting &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2020\/06\/01\/nj-joins-other-states-to-protect-seniors-nasaa-warns-smaller-advisers-about-cybersecurity-risks-sec-settles-valuation-and-fund-expense-wrap-fee-actions\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">NJ Joins Other States to Protect Seniors, NASAA Warns Smaller Advisers about Cybersecurity Risks, SEC Settles Valuation, and Fund Expense &#038; Wrap Fee Actions<\/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":[23,24,21,22],"tags":[],"class_list":["post-1042","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"aioseo_head":"\n\t\t<!-- All in One SEO 4.9.10 - aioseo.com -->\n\t<meta name=\"description\" content=\"June Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC. 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