Highlights of 2016, A Look Forward to 2017

Join Ascendant to review new IA regulatory trends across the DOL Fiduciary Rule, the November Election, and Dodd-Frank regulation. Last December, Ascendant ComplianceCasts predicted the “pendulum swings some” in 2016. The presentation will cover up-to-date regulatory information and issue summaries for your Annual Compliance Program Reviews. Maybe more predictions on how much the pendulum swings.

Learning objectives:

  • 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 Commissioner in Early 2017
  • SEC Guidance on IA Regulatory Matters

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