{"id":848,"date":"2018-12-03T23:35:26","date_gmt":"2018-12-03T23:35:26","guid":{"rendered":"http:\/\/localhost\/?p=848"},"modified":"2018-12-03T23:35:26","modified_gmt":"2018-12-03T23:35:26","slug":"advisers-fall-short-on-referral-arrangements-mutual-fund-exams-planned-updates-to-annual-and-focus-reports-finalized-and-compliance-program-fails","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2018\/12\/03\/advisers-fall-short-on-referral-arrangements-mutual-fund-exams-planned-updates-to-annual-and-focus-reports-finalized-and-compliance-program-fails\/","title":{"rendered":"Advisers Fall Short on Referral Arrangements, Mutual Fund Exams Planned, Updates to Annual and FOCUS Reports Finalized, and Compliance Program Fails. . ."},"content":{"rendered":"<p>December Regulatory Updates from\u00a0<a href=\"https:\/\/www.hardincompliance.com\/team\/jaqueline-m-hummel-esq\/\">Jaqueline Hummel<\/a>\u00a0at Hardin Compliance Consulting LLC.<\/p>\n<p>Topics include:<\/p>\n<ul>\n<li><a href=\"https:\/\/www.sec.gov\/files\/OCIE%20Risk%20Alert%20-%20Cash%20Solicitation.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Risk Alert \u2013 Investment Adviser Compliance Issues Related to the Cash Solicitation Rule<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/news\/press-release\/2018-250\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">SEC Enforcement Division Issues Report on FY 2018 Results<\/a><\/li>\n<li><u><a href=\"http:\/\/www.finra.org\/sites\/default\/files\/notice_doc_file_ref\/Regulatory-Notice-18-37.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">BDs and RIAs, Mark Your Calendars for December 17, 2018<\/a><\/u><\/li>\n<li><a href=\"https:\/\/www.finra.org\/sites\/default\/files\/notice_doc_file_ref\/Regulatory-Notice-18-38.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">SEC Approves Amendments to the Financial Reporting Requirements impact FOCUS and Annual Audit Requirements<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/news\/press-release\/2018-253\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Heads-up BDs \u2013 Regulation NMS Amended to Require Additional Disclosures on Order Handling<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/files\/OCIE%20Risk%20Alert%20-%20RIC%20Initiatives_0.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">OCIE Risk-Based Exam Initiatives for Investment Companies<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/investment\/investment-company-reporting-modernization-faq\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\"><u>Investment Company Reporting Modernization Frequently Asked Questions<\/u><\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/investment\/secg-optional-internet-availability-investment-company-shareholder-reports-rules\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Save some Trees!\u00a0 Optional Internet Availability of Investment Company Shareholder Reports<\/a><\/li>\n<li><a href=\"https:\/\/home.treasury.gov\/system\/files\/206\/FR-2018-22182_1786904.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">CFIUS Establishes Critical Technology Pilot Program \u2013 Impacts on Investment Funds<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/opinions\/2018\/34-84500.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Case regarding Thaddeus J. North, CCO, appeal from FINRA Disciplinary Action<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/enforce\/ia-5061-s\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">CEO Hit with SEC Fine for Failing to Support Compliance Program<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2018\/34-84553.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">SEC Issues What May be the First of Many Enforcement Actions Regarding Unregistered Exchanges Trading Digital Assets<\/a><\/li>\n<li><a href=\"https:\/\/www.cftc.gov\/PressRoom\/PressReleases\/7840-18\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Terminator 2: Judgment Day \u2013 same make, same model, new mission!\u00a0<\/a><\/li>\n<\/ul>\n<p><a href=\"https:\/\/www.hardincompliance.com\/blog\/regulatory-updates\/advisers-fall-short-on-referral-arrangements-mutual-fund-exams-planned-updates-to-annual-and-focus-reports-finalized-and-compliance-program-fails-regulatory-update-for-december-2018\/\">Read\u00a0the full post here<\/a><\/p>\n<p>&nbsp;<\/p>\n","protected":false},"excerpt":{"rendered":"<p>December Regulatory Updates from\u00a0Jaqueline Hummel\u00a0at Hardin Compliance Consulting LLC. Topics include: Risk Alert \u2013 Investment Adviser Compliance Issues Related to the Cash Solicitation Rule SEC Enforcement Division Issues Report on FY 2018 Results BDs and RIAs, Mark Your Calendars for December 17, 2018 SEC Approves Amendments to the Financial Reporting Requirements impact FOCUS and Annual &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2018\/12\/03\/advisers-fall-short-on-referral-arrangements-mutual-fund-exams-planned-updates-to-annual-and-focus-reports-finalized-and-compliance-program-fails\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Advisers Fall Short on Referral Arrangements, Mutual Fund Exams Planned, Updates to Annual and FOCUS Reports Finalized, and Compliance Program Fails. . .<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":14,"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-848","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\/848","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\/14"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=848"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/848\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=848"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=848"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=848"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}