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

Regulation Best Interest, Cybersecurity Top Concerns at IAA 2019 Compliance Conference

The Investment Adviser Association (IAA) represents the interests of investment advisers in Washington D.C., and the IAA Investment Adviser Compliance Conference 2019 was a forum for the discussion of future potential rulemaking. Cybersecurity and Fiduciary Rule considerations were headline topics, with custody and marketing right behind. The following is a summary of key issues discussed … Continued