Compliance Considerations for Dual Registrants

In this CCast, we’ll cover the following:

  • An examination of the current regulatory environment, including an overview of the SEC’s best interest rule proposal.
  • Consider FINRA’s approach to Risk Management and how this parallels the SEC approach for investment advisers
  • Identify cross over information, overlaps and new issues for Dual Registrants (such as insider trading, ADV Part 2A, Part 2B Supplements, recordkeeping, surveillance, supervision, email and social media, risk analysis, annual reviews and more).
  • Improve your awareness and understanding of the many rules and compliance concerns that impact dual registrants, and, importantly, how they can impact your business.

Fill in the form below to download this ComplianceCast

Loading form...

Subscribe to CSS Blog

CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

Loading form...

Latest Content

Improving Mutual Funds’ Principal Risks Disclosure

The Securities and Exchange Commission (SEC) has for years stressed that registrants’ disclosure in regulatory filings needs to be written in “plain English.” The SEC’s Disclosure Review and Accounting Office recently reiterated the plain English directive in “ADI 2019 – 08 – Improving Principal Risks Disclosure.” The guidance focuses specifically on making disclosure of principal risks … Continued

Cayman Islands Data Protection Law Nears Taking Effect

Cybersecurity regulations have landed ashore on the islands, and life is about to become anything but a beach for firms forced to comply with the Cayman Islands’ new Data Protection Law (DPL), slated to take effect September 30, 2019. With provisions largely mirroring the EU’s General Data Protection Regulation (GDPR), entities with a presence or … Continued