{"id":896,"date":"2019-02-04T14:21:44","date_gmt":"2019-02-04T14:21:44","guid":{"rendered":"http:\/\/localhost\/?p=896"},"modified":"2019-02-04T14:56:33","modified_gmt":"2019-02-04T14:56:33","slug":"ocie-and-finra-set-exam-priorities-finra-issues-cybersecurity-tips-and-sec-finds-more-undisclosed-conflicts","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2019\/02\/04\/ocie-and-finra-set-exam-priorities-finra-issues-cybersecurity-tips-and-sec-finds-more-undisclosed-conflicts\/","title":{"rendered":"OCIE and FINRA Set Exam Priorities, FINRA Issues Cybersecurity Tips, and SEC Finds More Undisclosed Conflicts"},"content":{"rendered":"<p>February 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%202019%20Priorities.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">OCIE Announces 2019 Examination Priorities<\/a><\/li>\n<li><a href=\"https:\/\/www.hardincompliance.com\/blog\/secs-top-eleven-hits-investment-adviser-regulatory-review-2018\/\" data-wpel-link=\"internal\">Regulatory Review 2018<\/a><\/li>\n<li><a href=\"https:\/\/www.hardincompliance.com\/blog\/eleven-key-takeaways-for-updating-your-compliance-program-in-2019-investment-advisers-mutual-funds-hedge-funds-and-private-equity-funds\/\" data-wpel-link=\"internal\">11 Key Takeaways for Updating your Compliance Program in 2019<\/a><\/li>\n<li><a href=\"https:\/\/www.hardincompliance.com\/blog\/investment-adviser-compliance-to-do-list-for-2019\/\" data-wpel-link=\"internal\">Investment Advisers Compliance to Do List<\/a><u> for 2019<\/u><\/li>\n<li><a href=\"http:\/\/www.finra.org\/industry\/cybersecurity\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">FINRA Provides Additional Guidance to Enhance your Cybersecurity Program<\/a><\/li>\n<li><a href=\"https:\/\/www.hardincompliance.com\/blog\/broker-dealer-compliance-to-do-list-for-2019\/\" data-wpel-link=\"internal\">Broker-Dealer Compliance to Do List for 2019<\/a><\/li>\n<li><a href=\"https:\/\/www.hardincompliance.com\/blog\/broker-dealer-2018-regulatory-year-in-review\/\" data-wpel-link=\"internal\">Broker-Dealer 2018 Regulatory Year in Review<\/a><\/li>\n<li><u>Broker-Dealers! Be Sure to Whitelist <a href=\"mailto:noreply@finra.org\" target=\"_blank\">noreply@finra.org<\/a><\/u><\/li>\n<li><a href=\"http:\/\/www.finra.org\/industry\/annual-entitlement-user-accounts-certification-process\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">2019 Annual Entitlement User Accounts Certification Process<\/a><\/li>\n<li><a href=\"http:\/\/www.finra.org\/industry\/2019-annual-risk-monitoring-and-examination-priorities-letter\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">FINRA 2019 Annual Risk Monitoring and Examination Priorities Letter FINRA<\/a><\/li>\n<li><a href=\"https:\/\/www.nfa.futures.org\/rulebook\/rules.aspx?RuleID=9070&amp;Section=9\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">NFA Members Need to Update Cybersecurity Programs<\/a><\/li>\n<li><a href=\"https:\/\/www.nfa.futures.org\/news\/PDF\/CFTC\/Interp-Notc-CR-2-9-CPO-Internal-Controls-System.pdf\">CPOs required to Implement Internal Controls<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/litigation\/admin\/2018\/ia-5096.pdf\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">SEC Cries Foul for Failure to Disclose Private Equity Fund Expense Allocation Practices<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/news\/press-release\/2018-300\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">Plus \u00c7a Change, Plus C\u2019est La M\u00eame Chose: Robo-Advisers and Advertising Issues<\/a><\/li>\n<li><a href=\"https:\/\/www.sec.gov\/news\/press-release\/2018-303\" target=\"_blank\" rel=\"external noopener noreferrer\" data-wpel-link=\"external\">12b-1 Enforcement Continues<\/a><\/li>\n<\/ul>\n<p><a href=\"https:\/\/www.hardincompliance.com\/blog\/regulatory-updates\/ocie-and-finra-set-exam-priorities-finra-issues-cybersecurity-tips-and-sec-finds-more-undisclosed-conflicts-regulatory-update-for-february-2019\/\">Read\u00a0the full post here<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>February Regulatory Updates from\u00a0Jaqueline Hummel\u00a0at Hardin Compliance Consulting LLC. Topics include: OCIE Announces 2019 Examination Priorities Regulatory Review 2018 11 Key Takeaways for Updating your Compliance Program in 2019 Investment Advisers Compliance to Do List for 2019 FINRA Provides Additional Guidance to Enhance your Cybersecurity Program Broker-Dealer Compliance to Do List for 2019 Broker-Dealer 2018 &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2019\/02\/04\/ocie-and-finra-set-exam-priorities-finra-issues-cybersecurity-tips-and-sec-finds-more-undisclosed-conflicts\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">OCIE and FINRA Set Exam Priorities, FINRA Issues Cybersecurity Tips, and SEC Finds More Undisclosed Conflicts<\/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-896","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\/896","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=896"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/896\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=896"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=896"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=896"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}