{"id":1182,"date":"2021-10-14T16:49:14","date_gmt":"2021-10-14T16:49:14","guid":{"rendered":"http:\/\/localhost\/?p=1182"},"modified":"2021-10-18T12:57:51","modified_gmt":"2021-10-18T12:57:51","slug":"mississippi-sends-iars-back-to-school-iard-and-crd-renewal-season-starts-regulators-provide-tips-on-vendor-due-diligence-and-scary-stories-from-sec-on-conflicts-of-interest","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2021\/10\/14\/mississippi-sends-iars-back-to-school-iard-and-crd-renewal-season-starts-regulators-provide-tips-on-vendor-due-diligence-and-scary-stories-from-sec-on-conflicts-of-interest\/","title":{"rendered":"Mississippi Sends IARS Back to School; IARD And CRD Renewal Season Starts; Regulators Provide Tips On Vendor Due Diligence, And Scary Stories From SEC On Conflicts Of Interest"},"content":{"rendered":"<p>October Regulatory Updates from\u00a0<a href=\"https:\/\/www.hardincompliance.com\/team\/cari-a-hopfensperger\/\">Cari Hopsfenperger<\/a>\u00a0at Foreside.<\/p>\n<p><strong>Topics include:<\/strong><\/p>\n<ul>\n<li><a href=\"https:\/\/sos.ms.gov\/sites\/default\/files\/Securities\/MS_Securities_Act_Rules_Feb_2021.pdf\">Mississippi Adopts Model Rule for investment advisor representative (IAR) Continuing Education<\/a><\/li>\n<li><strong>Mark Your Calendars: The IARD and CRD Renewal Programs Have Begun; Renewal Payments Due December 13, 2021:<\/strong>\u00a0 To get detailed information about the 2022 Annual Renewal Programs, including the complete timeline, payment methods, helpful tips, and FAQs, click the following links:\n<p><a href=\"https:\/\/www.finra.org\/registration-exams-ce\/broker-dealers\/annual-renewal\"><strong>FINRA Annual Renewal Overview<\/strong><\/a><\/p>\n<p><a href=\"https:\/\/www.iard.com\/renewal-program\"><strong>IARD Renewal Program Overview<\/strong><\/a><\/li>\n<li><a href=\"https:\/\/www.finra.org\/rules-guidance\/guidance\/interpretations-financial-operational-rules\"><strong>Required Reading:\u00a0 FINRA\u2019s and NFA Notices on Vendor Oversight and Due Diligence<\/strong><\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/news\/press-release\/2021-169\"><strong>The SEC Finds Advisors Response to Phishing Attacks, a Day Late and a Dollar Short<\/strong><\/a><\/li>\n<li><a title=\"\" href=\"https:\/\/www.sec.gov\/litigation\/admin\/2021\/ia-5853.pdf\" target=\"_blank\" rel=\"noopener\"><strong>Advisor Experiences the Horror of Failure to Supervise<\/strong><strong>\u00a0Remote IARs<\/strong><\/a><\/li>\n<li><a title=\"\" href=\"https:\/\/www.sec.gov\/litigation\/admin\/2021\/34-92945.pdf\" target=\"_blank\" rel=\"noopener\"><strong>Firm Principals Pay the Price for Riskless Principal Trades<\/strong><\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2021\/ia-5826.pdf\"><strong>New Technology but Same Old Conflicts<\/strong><\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2021\/ia-5855.pdf\"><strong>\u201cKeeping it in the Family\u201d is a Bad Compliance Strategy<\/strong><\/a><\/li>\n<li><a title=\"\" href=\"https:\/\/www.sec.gov\/litigation\/admin\/2021\/33-10978.pdf\" target=\"_blank\" rel=\"noopener\">The First of Many Cases on Breach of Duty \u2013 IAR Fined and Suspended, and RIA is Punished for Failing to Perform Suitability Analysis<\/a><\/li>\n<\/ul>\n<p><a href=\"https:\/\/www.foreside.com\/blog\/regulatory-update-oct-2021\/\">Read more here.<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>October Regulatory Updates from\u00a0Cari Hopsfenperger\u00a0at Foreside. Topics include: Mississippi Adopts Model Rule for investment advisor representative (IAR) Continuing Education Mark Your Calendars: The IARD and CRD Renewal Programs Have Begun; Renewal Payments Due December 13, 2021:\u00a0 To get detailed information about the 2022 Annual Renewal Programs, including the complete timeline, payment methods, helpful tips, and &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2021\/10\/14\/mississippi-sends-iars-back-to-school-iard-and-crd-renewal-season-starts-regulators-provide-tips-on-vendor-due-diligence-and-scary-stories-from-sec-on-conflicts-of-interest\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Mississippi Sends IARS Back to School; IARD And CRD Renewal Season Starts; Regulators Provide Tips On Vendor Due Diligence, And Scary Stories From SEC On Conflicts Of Interest<\/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-1182","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\/1182","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=1182"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1182\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1182"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1182"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1182"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}