{"id":1128,"date":"2021-06-08T19:23:28","date_gmt":"2021-06-08T19:23:28","guid":{"rendered":"http:\/\/localhost\/?p=1128"},"modified":"2021-06-11T00:52:33","modified_gmt":"2021-06-11T00:52:33","slug":"dol-weighs-in-with-cybersecurity-guidance-finra-issues-reminders-on-options-and-predispute-arbitration-agreements-nasaa-releases-annual-state-advisers-report-cayman-extends-crs-compliance-form-dead","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2021\/06\/08\/dol-weighs-in-with-cybersecurity-guidance-finra-issues-reminders-on-options-and-predispute-arbitration-agreements-nasaa-releases-annual-state-advisers-report-cayman-extends-crs-compliance-form-dead\/","title":{"rendered":"DOL Weighs In With Cybersecurity Guidance, FINRA Issues Reminders on Options and Predispute Arbitration Agreements, NASAA Releases Annual State Advisers Report, Cayman Extends CRS Compliance Form Deadlines"},"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><strong>Topics include:<\/strong><\/p>\n<ul>\n<li><strong>DOL issues Cybersecurity Guidance &#8212;\u00a0<\/strong>The DOL guidance was published in three separate pieces:\u00a0<a href=\"https:\/\/www.dol.gov\/sites\/dolgov\/files\/ebsa\/key-topics\/retirement-benefits\/cybersecurity\/tips-for-hiring-a-service-provider-with-strong-security-practices.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Tips for Hiring a Service Provider with Strong Cybersecurity Practices<\/a>,\u00a0<a href=\"https:\/\/www.dol.gov\/sites\/dolgov\/files\/ebsa\/key-topics\/retirement-benefits\/cybersecurity\/best-practices.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Cybersecurity Program Best Practices<\/a>, and\u00a0<a href=\"https:\/\/www.dol.gov\/sites\/dolgov\/files\/ebsa\/key-topics\/retirement-benefits\/cybersecurity\/online-security-tips.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Online Security Tips for Participants and Beneficiaries<\/a>. \u00a0<em>Contributed by\u00a0<a href=\"https:\/\/www.hardincompliance.com\/our-firm\/the-team\/glenn-r-skreppen\/\" data-wpel-link=\"internal\">Glenn R. Skreppen<\/a>, Senior Compliance Consultant<\/em><\/li>\n<li><strong>Updates to State Senior Laws &amp; Resources\u00a0 &#8212;\u00a0<\/strong>The law firm of Bressler, Amery and Ross, has created and continues to update its\u00a0<a href=\"https:\/\/www.bressler.com\/senior-map\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Senior and Vulnerable Investors Issues map<\/a>, with summaries of the requirements for all 50 states. Contributed by\u00a0<em><a href=\"https:\/\/www.hardincompliance.com\/our-firm\/the-team\/carolyn-w-mendelson\/\" data-wpel-link=\"internal\">Carolyn W. Mendelson<\/a>, Senior Compliance Consultant<\/em><\/li>\n<li><strong><a href=\"https:\/\/www.sec.gov\/rules\/final\/2021\/33-10935.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Form ID Updates<\/a><\/strong><\/li>\n<li><a href=\"https:\/\/www.nasaa.org\/wp-content\/uploads\/2021\/04\/2021-IA-Section-Report-FINAL.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\"><strong>NASAA Annual Report on State Registered Advisers<\/strong><\/a><\/li>\n<li><strong>2021 Cayman CRS (and FATCA) Updates\u00a0<\/strong><\/li>\n<li><a href=\"https:\/\/www.finra.org\/sites\/default\/files\/2021-04\/Regulatory-Notice-21-15.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\"><strong>Do Your Options Procedures Need Work?<\/strong><\/a><\/li>\n<li><strong><a href=\"https:\/\/www.finra.org\/rules-guidance\/notices\/21-16\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Can You Pass This Quiz Regarding the Use of Predispute Arbitration Agreements?<\/a>\u00a0<\/strong><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2021\/34-91853.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\"><strong>SEC Charges Broker-Dealer for Failing to File SARS<\/strong><\/a><\/li>\n<\/ul>\n<p><a href=\"https:\/\/www.hardincompliance.com\/blog\/regulatory-updates\/dol-weighs-in-with-cybersecurity-guidance-finra-issues-reminders-on-options-and-predispute-arbitration-agreements-nasaa-releases-annual-state-advisers-report-cayman-extends-crs-compliance-form-dead\/\">Read more here<\/a>.<\/p>\n<p>&nbsp;<\/p>\n","protected":false},"excerpt":{"rendered":"<p>June Regulatory Updates from\u00a0Cari Hopsfenperger\u00a0at Hardin Compliance Consulting LLC. Topics include: DOL issues Cybersecurity Guidance &#8212;\u00a0The DOL guidance was published in three separate pieces:\u00a0Tips for Hiring a Service Provider with Strong Cybersecurity Practices,\u00a0Cybersecurity Program Best Practices, and\u00a0Online Security Tips for Participants and Beneficiaries. \u00a0Contributed by\u00a0Glenn R. Skreppen, Senior Compliance Consultant Updates to State Senior Laws &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2021\/06\/08\/dol-weighs-in-with-cybersecurity-guidance-finra-issues-reminders-on-options-and-predispute-arbitration-agreements-nasaa-releases-annual-state-advisers-report-cayman-extends-crs-compliance-form-dead\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">DOL Weighs In With Cybersecurity Guidance, FINRA Issues Reminders on Options and Predispute Arbitration Agreements, NASAA Releases Annual State Advisers Report, Cayman Extends CRS Compliance Form Deadlines<\/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-1128","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1128","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=1128"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1128\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1128"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1128"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1128"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}