ComplianceCast Predicts 2017 Compliance Developments

As 2017 begins to take shape, Ascendant reviews new investment adviser regulatory and compliance trends across the DOL Fiduciary Rule, the November Election, and Dodd-Frank regulation.

Last December, Ascendant ComplianceCasts predicted the “pendulum swings some” in 2016. This presentation covers up-to-date regulatory information and issue summaries for your Annual Compliance Program Reviews, and then adds a handful of predictions on how much the pendulum swings in 2017, under a new presidential administration.

This ComplianceCast covers:

  • Implementation of Form ADV Amendments in late 2017
  • DOL and SEC Fiduciary Rules under the Trump Administration
  • SEC Data Analytics Re-enforced
  • Private Fund Regulation Trending
  • New SEC Commissioners in Early 2017
  • SEC Guidance on IA Regulatory Matters
  • Predictions for the Next 12 Months

To request a download of the episode, click here.


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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.

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