{"id":886,"date":"2019-01-22T20:47:02","date_gmt":"2019-01-22T20:47:02","guid":{"rendered":"http:\/\/localhost\/?p=886"},"modified":"2019-01-22T20:47:02","modified_gmt":"2019-01-22T20:47:02","slug":"investment-adviser-regulatory-review-2018","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2019\/01\/22\/investment-adviser-regulatory-review-2018\/","title":{"rendered":"Investment Adviser Regulatory Review 2018"},"content":{"rendered":"<p>The SEC\u2019s regulatory actions in 2018 involved few surprises but still managed to challenge investment advisers. In reviewing the SEC\u2019s activity over the past 12 months, <a href=\"https:\/\/www.hardincompliance.com\/team\/jaqueline-m-hummel-esq\/\">Jaqueline Hummel<\/a>\u00a0at Hardin Compliance Consulting LLC has identified the top regulatory hot buttons to help firms focus their efforts to update their compliance programs for 2019.<\/p>\n<p><a href=\"https:\/\/www.hardincompliance.com\/blog\/secs-top-eleven-hits-investment-adviser-regulatory-review-2018\/\">Read her full post here.<\/a><\/p>\n<p>&nbsp;<\/p>\n","protected":false},"excerpt":{"rendered":"<p>The SEC\u2019s regulatory actions in 2018 involved few surprises but still managed to challenge investment advisers. In reviewing the SEC\u2019s activity over the past 12 months, Jaqueline Hummel\u00a0at Hardin Compliance Consulting LLC has identified the top regulatory hot buttons to help firms focus their efforts to update their compliance programs for 2019. Read her full &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2019\/01\/22\/investment-adviser-regulatory-review-2018\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Investment Adviser Regulatory Review 2018<\/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,"footnotes":""},"categories":[23,24,21,22],"tags":[],"class_list":["post-886","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 5.0.0.1 - aioseo.com -->\n\t<meta name=\"description\" content=\"The SEC\u2019s regulatory actions in 2018 involved few surprises but still managed to challenge investment advisers. 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Read her full\" \/>\n\t<meta name=\"robots\" content=\"max-image-preview:large\" \/>\n\t<meta name=\"author\" content=\"BDIA Editors\"\/>\n\t<link rel=\"canonical\" href=\"https:\/\/bdia.pli.edu\/index.php\/2019\/01\/22\/investment-adviser-regulatory-review-2018\/\" \/>\n\t<meta name=\"generator\" content=\"All in One SEO (AIOSEO) 5.0.0.1\" \/>\n\t\t<meta property=\"og:locale\" content=\"en_US\" \/>\n\t\t<meta property=\"og:site_name\" content=\"Legal Perspectives on Current Regulatory Developments for BDs and IAs |\" \/>\n\t\t<meta property=\"og:type\" content=\"article\" \/>\n\t\t<meta property=\"og:title\" content=\"Investment Adviser Regulatory Review 2018 | Legal Perspectives on Current Regulatory Developments for BDs and IAs\" \/>\n\t\t<meta property=\"og:description\" content=\"The SEC\u2019s regulatory actions in 2018 involved few surprises but still managed to challenge investment advisers. 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