{"id":1130,"date":"2021-05-18T18:39:41","date_gmt":"2021-05-18T18:39:41","guid":{"rendered":"http:\/\/localhost\/?p=1130"},"modified":"2021-06-11T00:54:22","modified_gmt":"2021-06-11T00:54:22","slug":"dol-brings-back-impartial-conduct-standards-in-faqs-sec-weighs-in-on-esg-investing-and-finra-makes-it-even-harder-to-hire-reps-with-black-marks","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2021\/05\/18\/dol-brings-back-impartial-conduct-standards-in-faqs-sec-weighs-in-on-esg-investing-and-finra-makes-it-even-harder-to-hire-reps-with-black-marks\/","title":{"rendered":"DOL Brings Back Impartial Conduct Standards in FAQs, SEC Weighs in on ESG Investing, and FINRA Makes it Even Harder to Hire Reps with Black Marks"},"content":{"rendered":"<p>May 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><a href=\"https:\/\/www.dol.gov\/agencies\/ebsa\/about-ebsa\/our-activities\/resource-center\/faqs\/new-fiduciary-advice-exemption\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Bringing Back BICE<\/a><\/strong><\/li>\n<li><strong><a href=\"https:\/\/www.finra.org\/filing-reporting\/entitlement\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">FINRA\u2019s 2021 Entitlement User Account Certification Period Commences<\/a><\/strong><\/li>\n<li><strong><a href=\"https:\/\/www.sec.gov\/news\/press-release\/2021-65\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Gary Gensler Confirmed as New SEC Chair<\/a><\/strong><\/li>\n<li><strong><a href=\"https:\/\/www.sec.gov\/news\/public-statement\/peirce-statement-staff-esg-risk-alert\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">The Division of Examinations\u2019 Review of ESG Investing<\/a><\/strong><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/files\/aml-risk-alert.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\"><strong>SEC Issues Risk Alert to Broker-Dealers Identifying Known Deficiencies Related to AML Programs<\/strong><\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/files\/aml-risk-alert.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\"><strong>SEC Issues Risk Alert to Broker-Dealers Identifying Known Deficiencies Related to AML Programs<\/strong><\/a><\/li>\n<li><strong><a href=\"https:\/\/www.finra.org\/rules-guidance\/notices\/21-09\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">FINRA Regulatory Notice 21-09: FINRA Adopts Rules to Address Brokers with a Significant History of Misconduct<\/a><\/strong><\/li>\n<li><strong><a href=\"https:\/\/www.finra.org\/sites\/default\/files\/2021-03\/Regulatory-Notice-21-07.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Regulatory Notice 21-07: FINRA Provides Guidance on Common Sales Charge Discounts and Waivers for Investment Company Products<\/a><\/strong><\/li>\n<li><strong><a href=\"https:\/\/www.sec.gov\/news\/press-release\/2021-56?utm_medium=email&amp;utm_source=govdelivery\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">SEC Charges Auditor for Failing to Register with the PCAOB<\/a><\/strong><\/li>\n<li><strong>Lies of Omission are Still Lies \u2013 Individuals Censured, Barred Over Private Fund Disclosures<\/strong><\/li>\n<\/ul>\n<p><a href=\"https:\/\/www.hardincompliance.com\/blog\/regulatory-updates\/dol-brings-back-impartial-conduct-standards-in-faqs-sec-weighs-in-on-esg-investing-and-finra-makes-it-even-harder-to-hire-reps-with-black-marks-regulatory-update-for-may-2021\/\">Read more here.<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>May Regulatory Updates from\u00a0Cari Hopsfenperger\u00a0at Hardin Compliance Consulting LLC. Topics include: Bringing Back BICE FINRA\u2019s 2021 Entitlement User Account Certification Period Commences Gary Gensler Confirmed as New SEC Chair The Division of Examinations\u2019 Review of ESG Investing SEC Issues Risk Alert to Broker-Dealers Identifying Known Deficiencies Related to AML Programs SEC Issues Risk Alert to &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2021\/05\/18\/dol-brings-back-impartial-conduct-standards-in-faqs-sec-weighs-in-on-esg-investing-and-finra-makes-it-even-harder-to-hire-reps-with-black-marks\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">DOL Brings Back Impartial Conduct Standards in FAQs, SEC Weighs in on ESG Investing, and FINRA Makes it Even Harder to Hire Reps with Black Marks<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":16,"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-1130","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\/1130","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\/16"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=1130"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1130\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1130"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1130"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1130"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}